Regulatory Updates   

 

UPDATE

 

TOPIC/TITLE

1202

 

CFTC Regulations 1.25 and 30.7 – Effective Date and Compliance Date

1201

 

CFTC Regulations 1.25 and 30.7 – Investment of Customer Segregated and Secured Amount Funds

 

 


1105

 

UPDATE – Balances Held with MF Global Inc and Affiliated Entities

1104

 

UPDATE – Balances Held with MF Global Inc. and Affiliated Entities

1103

 

Reporting Requirements for Veteran’s Day, November 11, 2011

1102

 

Balances Held with MF Global Inc. and Affiliated Entities

1101

 

Proposed CFTC Regulations 1.72, 1.73, and 1.74

 


1008

 

Proposed Amendments to CFTC Regulations 1.25 and 30.7 regarding Investment of Customer Segregated and Secured Funds

1007

 

Reporting Requirements for Veteran’s Day, November 11, 2010

1006

 

CFTC Regulation 1.25 and SEC Rule 22e-3 – Redemption of Interests in Money Market Mutual Funds

1005

 

Independent Pricing for Readily Marketable Securities

1004

 

Foreign Currency Capital Charge

1003

 

CFTC Adopted Amendments to Adjusted Net Capital Requirements Applicable to Futures Commission Merchants and Introducing Brokers

1002

 

FDIC Temporary Liquidity Guarantee Program

1001

 

CFTC Electronic Filing Regulations

 


0909

 

Revised Margins Acceptability by Exchange

0908

 

Power of Attorney Law Changes in New York

0907

 

Investments in Securities

0906

 

Revised Margin Deposit by Exchange Exhibit

0905

 

Update – The Reserve Primary Fund Valuation

0904

 

CFTC Proposed Rules on Acknowledgment Letters for Customer Funds and Secured Amount Accounts

0903

 

Update – The Reserve Primary Fund Valuation

0902

 

FDIC Temporary Liquidity Guaranteed Collateral

0901

 

Covered Positions – Proprietary Capital Charge

 


0807

 

Offsetting/securing Deficits with Readily Marketable Collateral (11/19/08)

0806

 

CFTC Regulation 1.20 and Non-Regulated Delivery Transactions (11/11/08)

0805

 

CFTC Staff Letter – Reserve Primary Fund (9/25/08)

0804

 

CFTC Regulation 1.25 - Investment of Customer Funds (5/19/2008)

0803

 

Margining Accounts in Different Origins (3/27/2008)

0802

 

Liquidity of CFTC Regulation 1.25 Permitted Investments (3/25/2008)

0801

 

CFTC Staff Letter - Investments Held in Segregated Accounts (1/11/08)

 


0703

 

Investments-Due Diligence Reminder (12/12/07)

0702

 

Letters of Credit and Revised Margin Deposit Acceptability by Exchange Exhibit  (6/11/07)

0701

 

CFTC Regulations 1.12 and 1.17 Amendments – Limitations on Withdrawals of Equity Capital (3/9/2007)

0601

 

Reminder: Amendment of Interpretation No. 10 Re: Third Party Custodial Accounts (1/4/2006)

0501

 

Amendment of Interpretation No. 10 Re: Third Party Custodial Accounts (6/17/2005)

0406

 

Subloan Templates for CFTC Adoption of Risk-Based Capital (10/1/2004)

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)