Regulatory Updates

UPDATE	TOPIC/TITLE
0803 0802 0801	Margining Accounts in Different Origins (3/27/2008) Liquidity of CFTC Regulation 1.25 Permitted Investments (3/25/2008) 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)