Font Size: AAA // Print // Bookmark

Comments for Proposed Rule 75 FR 70152

Proposed Rule  75 FR 70152  //  Open PDF Version PDF Version

17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

Open Date: 11/17/2010
Closing Date: 1/18/2011
Extended Date: 6/3/2011
See also:
76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 20128 ,  4/3/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

79 FR 41126 ,  7/15/2014  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction

Date ReceivedReleaseFirst NameLast NameOrganization Edit
Data pager
Data pager
First PagePrevious Page
Next PageLast Page
Page size:
PageSizeComboBox
select
 58 items in 6 pages
06/15/201176 FR 25274Ex ParteCommunicationWMBAA, BGC, GFI, ICAP, Tradition, Tullett Prebon, Patton Boggs
01/24/201175 FR 70152CarlLevinU. S. Senate
06/03/201176 FR 25274DouglasFriedmanTradeweb Markets LLC
01/18/201175 FR 70152TerryRoggensackThe Hightower Report
06/03/201175 FR 70152JamesCawleySwaps & Derivatives Market Association (SDMA)
06/03/201175 FR 70152WarrenDavisSutherland Asbill & Brennan LLP, on behalf of the Federal Home Loan Banks
01/13/201175 FR 70152ScottStewartStewart-Peterson Group, Inc.
03/24/201175 FR 70152MarkWernerPierpont Securities Holdings LLC Pierpont Securities LLC Pierpont Derivatives LLC
03/24/201175 FR 70152MarkWernerPierpont Securities Holdings LLC Pierpont Securities LLC Pierpont Derivatives LLC
01/18/201175 FR 70152JimColluraPetroleum Marketers Association of America (PMAA) and the New England Fuel Institute