Regulatory Updates
UPDATE
TOPIC/TITLE
0803
0802 0801
0703
0702
0701
0601
0501
0406
0405
WinJammer updates for CFTC Adoption of Risk-Based Capital (9/17/2004)
0404
CFTC Adoption of Risk-Based Capital and Other Reporting Requirements (8/20/2004)
0403
Customer Identification Program for FCMs and IBs (7/7/2004)
0402
Revised: Margins Handbook Update - Margin Deposits Acceptability by Exchange Exhibit (3/29/04)
0401
CFTC Regulation 1.25 Amendments - Investment of Customer Funds (3/3/04)
0306
The Clearing Corporation Stock Valuation and Presentation (12/17/03)
0305
CFTC Proposed Rules on Risk-Based Capital and Other Reporting Requirements (7/18/03)
0304
Margins Handbook Update-Margin Deposits Acceptability by Exchange Exhibit (6/17/03)
0303
NFA Compliance Rule 2-38 – Business Continuity and Disaster Recovery Plan (5/23/03)
0302
Regulation 1.25 – Allowable Investments of Customer Segregated Funds (2/20/03)
0301
CFTC Regulation 1.49–Denomination of Customer Funds & Location of Depositories (2/19/03)
0202
Anti-Money Laundering Compliance Program (5/29/2002)
0201
Additional Relief for Records Lost or Destroyed in the World Trade Center Attacks (2/19/02)
0107
CFTC Regulation 1.25 - Allowable Investments of Customer Segregated Funds (12/27/2001)
0106
Executive Order on Terrorist Financing (9/25/2001)
0105
Temporary Relief from Certain Commission Regulations as a Result of the World Trade Center Disaster (9/20/01)
0104
CFTC Final Rule on Offsetting Debit/Deficits for Segregation and Secured Amount Statement Reporting (8/9/01)
0103
CFTC Regulation 1.25 - Investments of Customer Segregated Funds (6/4/01)
0102
Recording Aged Reconciling Items (4/12/01)
0101
CFTC Final Rule: Interpretive Statement regarding Rule 30.7 (3/16/01)
0005
CFTC Final Rules on 5% Foreign Broker Capital Charge (12/6/00)
0004
CFTC Proposed Rules (7/6/00)
0003
CFTC Final Rules on Equity Withdrawal Restriction and Secured Demand Notes (5/18/00))
0002
Regulatory Treatment of Various Investment Instruments (5/18/00)
0001
Receivership of Independent Trust Corporation (Intrust) (4/18/00)
9906
Year 2000 Transition (11/8/99) (JAC Update) Y2K Questionnaire (Adobe .PDF Format) Y2K Questionnaire (Microsoft Word Format)
9905
Margins Handbook - Second Edition (9/20/99)
9904
CFTC Year 2000 Contingency Planning for Commission Registrants (6/21/99)
9903
Year 2000 Survey (5/11/99)
9902
CFTC Record Retention Requirement Regarding Year 2000 Testing (3/17/99)
9901
Recent CFTC Advisories Regarding Material Inadequacies Related to Year 2000 and New Euro-Currency Compliance (1/11/99)
9808
CFTC Final Rule on Notifications of Undersegregated Conditions (9/21/98)
9807
CFTC Elimination of the Capital Charge for Customer Short Option Value (8/1/98)
9806
CFTC Advisory #17-98 Reporting and disclosure requirements for year 2000 Problems (6/1/98)
9805
CFTC Prop. To Eliminate Capt. Charge for Customer Short Opt. Value (3/31/98)
9804
Amendments to CFTC Regulations Regarding Risk Disclosure Statements (3/13/98)
9803
Year 2000 Compliance Questionnaire (2/27/98)
9802
CFTC Proposal for Notifications of Undersegregated Conditions (1/22/98)
9801
CFTC Request for Comments on Proposed Rule Making (1/9/98)
9711
Year 2000 Preparedness (12/17/97)
9710
Revised Financial Reporting and Filing Requirements (12/15/97)
9709
Relief from 5% foreign broker charge (10/7/97)
9708
Proposed Amendments to CFTC Regulations Regarding Risk Disclosure Statements (10/7/97)
9707
Amendments to CFTC Regulation 1.25 (Investment of Customer Funds) 9/11/97)
9706
Additional Relief from the Short Option Value Charge (8/11/97)
9705
Revised Financial Reporting and Filing Requirements 7/7/97)s
9704
Delivery of Statements by Means of Electronic Media (6/27/97)
9703
Relief from Separate Acknowledgment Letters for customer Accounts at Domestic Clearing Organizations (3/8/97)
9702
Relief from 5% Foreign Broker Charge (2/13/97)
9701
CFTC Rule Changes - Financial Reporting, Debt to Equity Ratio Requirements and filing of Guarantee Agreements (2/18/97)
9606
SEC Rule 270.17f-6 - Third Party Custodial Accounts (12/30/96)
9605
Deposits Held With the London Clearing House (10/17/96)
9604
CFTC Advisory on Third Party Custodial Accounts (8/9/96)
9603
CFTC Rule Changes (6/5/96)
9602
CFTC Risk Assessment Update (3/19/96)
9601
Proposed Rule Changes - Financial Reporting and Debt to Equity Ratio Requirements (3/8/96)