Displaying results 161 - 170 of 1195
2010-31458
… their written documentation in disciplinary decisions and settlements.\130\ These heightened documentation … require that the facts and analysis supporting disciplinary settlements and decisions be explained carefully and in … written documentation of the facts and analysis supporting settlements and disciplinary decisions will help facilitate …
Created on:
e9-25183
...FR Doc E9-25183[Federal Register: October 20, 2009 (Volume 74, Number 201)] [Notices] [Page 53724-53728] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr20oc09-41] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION   Notice of Intent, Pursuant to the Authority in Section 2(h)(7…
Created on:
Industry Filings
...December 2003 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 12/30/2003 12/31/2003 NQLX NQLX Rule 101(a)(54) Pursuant to Section 5c(c)(1) of the Commodity Exchange Act and Regulations 38.4(b) and 40.6, NQLX LLC is certifying…
Created on:
e9-25183
... FR Doc E9-25183[Federal Register: October 20, 2009 (Volume 74, Number 201)] [Notices] [Page 53724-53728] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr20oc09-41] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING…
Created on:
e9-25183
... FR Doc E9-25183[Federal Register: October 20, 2009 (Volume 74, Number 201)] [Notices] [Page 53724-53728] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr20oc09-41] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING…
Created on:
e9-25183
... FR Doc E9-25183[Federal Register: October 20, 2009 (Volume 74, Number 201)] [Notices] [Page 53724-53728] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr20oc09-41] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING…
Created on:
2010-31029
… delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity … delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity …
Created on:
2010-10308
... FR Doc 2010-10308[Federal Register: May 4, 2010 (Volume 75, Number 85)] [Notices] [Page 23690-23697] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr04my10-61] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION…
Created on:
Segregation and Bankruptcy
... Slide 1 FCM 1.20 Account Segregation – Operations Considerations FIA Segregation Sub-committee meeting with CFTC Washington, 15 September 2010 Agenda Agenda ♦Introduction & Overview 2:00 - 2:10 ♦Key areas of consideration (1) 2:10 – 2:45 –Account Structures –Omnibus accounts –Reconciliations ♦Key areas of consideration (2…
Created on:
Industry Filings
...July 2006 Filings by Designated Contract Markets (DCMs)         Date of Letter Date Filed DCM Description 07/31/2006 07/31/2006 CFE Rule Numbers – CFE Policy and Procedures V. CFE’s Independent Software Vendor Incentive…
Created on: