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
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
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)