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Commodity Futures Trading Commission (CFTC)

Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the...

BD Rules & Regulatory Actions
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COMMODITY FUTURES TRADING COMMISSION 17 CFR PARTS 1, 41 and 190 RIN 3038-AB76 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44854; File No. ...

Customer Margin Rules Relating to Security Futures

BD Rules & Regulatory Actions
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COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB71 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242 [Release No. 34-44853; File No. S7-16-01] RIN 3235-A122Customer ...

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

BD Rules & Regulatory Actions
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COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB86 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44743; File No. S7-15-01] RIN 3235-AI24 ...

Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934

BD Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 248, and 249 [Release No. 34-44455; File No. S7-13-01] RIN 3235-AI21 Registration of Broker-Dealers Pursuant to Section 15(b)(11) ...

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application...

BD Rules & Regulatory Actions
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COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB77 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44288; File No. S7-11-01] RIN 3235-AI13 ...
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