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Date
Final Rules
12/31/2009
74 FR 69279 // 
PDF Version
17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers, Final Rules.
Effective Date: March 31, 2010
See also:
PDF Version17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers, Final Rules.
Effective Date: March 31, 2010
See also:
- 74 FR 21290, May 7, 2009 PDF Version
17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers
12/30/2009
74 FR 69004 // PDF Version
17 CFR Part 1 Electronic Filing of Financial Reports and Notices, final rules.
Effective Date: January 4, 2010
See also:
PDF Version17 CFR Part 1 Electronic Filing of Financial Reports and Notices, final rules.
Effective Date: January 4, 2010
See also:
- 74 FR 52434, October 13, 2009 PDF Version
Electronic Filing of Financial Reports and Notices
12/01/2009
74 FR 62889 // PDF Version
Part II Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248; Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Effective Date: December 31, 2009
See also:
PDF VersionPart II Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248; Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Effective Date: December 31, 2009
See also:
- 72 FR 14939, March 29, 2007 PDF Version
Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act - 72 FR 16875, April 5, 2007 PDF Version
Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act; Correction
11/24/2009
74 FR 61380 // PDF Version
Commodity Futures Trading Commission Securities and Exchange Commission Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
PDF VersionCommodity Futures Trading Commission Securities and Exchange Commission Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
11/23/2009
74 FR 61116 // PDF Version
Commodity Futures Trading Commission Securities and Exchange Commission Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Effective Date: November 17, 2009
PDF VersionCommodity Futures Trading Commission Securities and Exchange Commission Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Effective Date: November 17, 2009
11/09/2009
74 FR 57585 // PDF Version
17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports
Effective Date: December 9, 2009
See also:
PDF Version17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports
Effective Date: December 9, 2009
See also:
- 74 FR 8220, February 24, 2009 PDF Version
17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports
09/08/2009
74 FR 46115 // PDF Version
Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Associations
Effective Date: November 9, 2009
PDF VersionFees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Associations
Effective Date: November 9, 2009
08/25/2009
74 FR 42948 // PDF Version
Securities and Exchange Commission; Commodity Futures Trading Commission Joint Meetings on Harmonization of Regulation
PDF VersionSecurities and Exchange Commission; Commodity Futures Trading Commission Joint Meetings on Harmonization of Regulation
08/06/2009
74 FR 39303 // PDF Version
Determination of Appropriateness of the Supervision by the Bundesanstalt f[uuml]r Finanzdienstleistungaufsicht (BaFin), in Conjunction With Deutsche Bundesbank (Bundesbank), Both of the Federal Republic of Germany, With Respect to the Clearing Activities of Eurex Clearing AG (Eurex)
Effective Date: July 31, 2009
PDF VersionDetermination of Appropriateness of the Supervision by the Bundesanstalt f[uuml]r Finanzdienstleistungaufsicht (BaFin), in Conjunction With Deutsche Bundesbank (Bundesbank), Both of the Federal Republic of Germany, With Respect to the Clearing Activities of Eurex Clearing AG (Eurex)
Effective Date: July 31, 2009
08/06/2009
74 FR 39211 // PDF Version
Contract Market Rules Altered or Supplemented by the Commission
Effective Date: August 6, 2009
PDF VersionContract Market Rules Altered or Supplemented by the Commission
Effective Date: August 6, 2009
07/30/2009
74 FR 37988 // PDF Version
Order Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Effective Date: July 30, 2009
See also:
PDF VersionOrder Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Effective Date: July 30, 2009
See also:
- 74 FR 28028, June 12, 2009 PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
04/27/2009
74 FR 18982 // PDF Version
17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
Effective Date: April 27, 2009
See also:
PDF Version17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
Effective Date: April 27, 2009
See also:
- 74 FR 3475, January 21, 2009 PDF Version
17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
04/15/2009
74 FR 17392 // PDF Version
17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information
Effective Date: May 15, 2009
See also:
PDF Version17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information
Effective Date: May 15, 2009
See also:
- 73 FR 44939, August 1, 2008 PDF Version
17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information - 73 FR 51961, September 8, 2008 PDF Version
17 CFR Parts 40, 41 and 145 Confidential Information and Commission Records and Information
03/24/2009
74 FR 12316 // PDF Version
Order (1) Pursuant to Section 4(c)of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Position and Funds Held in Customer Segregated Accounts
Effective Date: March 18, 2009
PDF VersionOrder (1) Pursuant to Section 4(c)of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Position and Funds Held in Customer Segregated Accounts
Effective Date: March 18, 2009
03/23/2009
74 FR 12178 // PDF Version
17 CFR Parts 15, 16, 17, 18, 19, 21, 36, 40 Significant Price Discovery Contracts on Exempt Commercial Markets
Effective Date: April 22, 2009
See also:
PDF Version17 CFR Parts 15, 16, 17, 18, 19, 21, 36, 40 Significant Price Discovery Contracts on Exempt Commercial Markets
Effective Date: April 22, 2009
See also:
- 73 FR 75888, December 12, 2008 PDF Version
17 CFR Parts 15, 16, 17, 18, 19, 21, 36, and 40 Significant Price Discovery Contracts on Exempt Commercial Markets
03/09/2009
74 FR 10038 // PDF Version
Federal Register Notice Requesting Nominations for the Subcommittee on Convergence in Agricultural Commodity Markets Under the Agricultural Advisory Committee
PDF VersionFederal Register Notice Requesting Nominations for the Subcommittee on Convergence in Agricultural Commodity Markets Under the Agricultural Advisory Committee
03/05/2009
74 FR 9568 // PDF Version
17 CFR Part 4 Electronic Filing of Disclosure Documents
Effective Date: April 6, 2009
See also:
PDF Version17 CFR Part 4 Electronic Filing of Disclosure Documents
Effective Date: April 6, 2009
See also:
- 73 FR 71968, November 26, 2008 PDF Version
17 CFR Part 4 Electronic Filing of Disclosure Documents
01/21/2009
74 FR 3570 // PDF Version
Notice of Additional Conditions on the No-Action Relief When Foreign Boards of Trade That Have Received Staff No-Action Relief To Permit Direct Access to Their Automated Trading Systems From Locations in the United States List for Trading From the U.S. Linked Futures and Option Contracts and a Revision of Commission Policy Regarding the Listing of Certain New Option Contracts
PDF VersionNotice of Additional Conditions on the No-Action Relief When Foreign Boards of Trade That Have Received Staff No-Action Relief To Permit Direct Access to Their Automated Trading Systems From Locations in the United States List for Trading From the U.S. Linked Futures and Option Contracts and a Revision of Commission Policy Regarding the Listing of Certain New Option Contracts