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Final Rules

Date
Final Rules
12/31/2009
74 FR 69279 // PDF Image PDF Version

17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers, Final Rules.

Effective Date: March 31, 2010

See also:
  • 74 FR 21290, May 7, 2009 PDF ImagePDF Version
    17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers

12/30/2009
74 FR 69004 // PDF Image PDF Version

17 CFR Part 1 Electronic Filing of Financial Reports and Notices, final rules.

Effective Date: January 4, 2010

See also:
12/01/2009
74 FR 62889 // PDF Image PDF Version

Part II Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248; Final Model Privacy Form Under the Gramm-Leach-Bliley Act

Effective Date: December 31, 2009

See also:
  • 72 FR 14939, March 29, 2007 PDF ImagePDF Version
    Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act

  • 72 FR 16875, April 5, 2007 PDF ImagePDF Version
    Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act; Correction

  • 11/24/2009
    74 FR 61380 // PDF Image PDF Version

    Commodity Futures Trading Commission Securities and Exchange Commission Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act
    11/23/2009
    74 FR 61116 // PDF Image PDF Version

    Commodity Futures Trading Commission Securities and Exchange Commission Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934

    Effective Date: November 17, 2009
    11/09/2009
    74 FR 57585 // PDF Image PDF Version

    17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

    Effective Date: December 9, 2009

    See also:
    • 74 FR 8220, February 24, 2009 PDF ImagePDF Version
      17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

    11/06/2009
    74 FR 57454 // PDF Image PDF Version

    Global Markets Advisory Committee Meeting 12/09/2009
    10/15/2009
    74 FR 52954 // PDF Image PDF Version

    Notice; Agricultural Advisory Committee Meeting
    09/10/2009
    74 FR 46574 // PDF Image PDF Version

    Global Markets Advisory Committee Meeting
    09/08/2009
    74 FR 46115 // PDF Image PDF Version

    Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Associations

    Effective Date: November 9, 2009
    09/08/2009
    74 FR 46116 // PDF Image PDF Version

    Energy and Environmental Markets Advisory Committee Meeting
    09/01/2009
    74 FR 45186 // PDF Image PDF Version

    Energy and Environmental Market Advisory Committee Meeting
    08/25/2009
    74 FR 42948 // PDF Image PDF Version

    Securities and Exchange Commission; Commodity Futures Trading Commission Joint Meetings on Harmonization of Regulation
    08/06/2009
    74 FR 39303 // PDF Image PDF Version

    Determination of Appropriateness of the Supervision by the Bundesanstalt f[uuml]r Finanzdienstleistungaufsicht (BaFin), in Conjunction With Deutsche Bundesbank (Bundesbank), Both of the Federal Republic of Germany, With Respect to the Clearing Activities of Eurex Clearing AG (Eurex)

    Effective Date: July 31, 2009
    08/06/2009
    74 FR 39211 // PDF Image PDF Version

    Contract Market Rules Altered or Supplemented by the Commission

    Effective Date: August 6, 2009
    07/30/2009
    74 FR 37988 // PDF Image PDF Version

    Order Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

    Effective Date: July 30, 2009

    See also:
    • 74 FR 28028, June 12, 2009 PDF ImagePDF Version
      Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

    04/29/2009
    74 FR 19536 // PDF Image PDF Version

    Energy and Environmental Markets Advisory Committee Meeting
    04/27/2009
    74 FR 18982 // PDF Image PDF Version

    17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

    Effective Date: April 27, 2009

    See also:
    • 74 FR 3475, January 21, 2009 PDF ImagePDF Version
      17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

    04/17/2009
    04/15/2009
    74 FR 17392 // PDF Image PDF Version

    17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information

    Effective Date: May 15, 2009

    See also:
    • 73 FR 44939, August 1, 2008 PDF ImagePDF Version
      17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information

  • 73 FR 51961, September 8, 2008 PDF ImagePDF Version
    17 CFR Parts 40, 41 and 145 Confidential Information and Commission Records and Information

  • 04/08/2009
    74 FR 15943 // PDF Image PDF Version

    Establishment of Risk Management Advisory Committee
    03/31/2009
    74 FR 14532 // PDF Image PDF Version

    Agricultural Advisory Committee; Thirteenth Renewal
    03/24/2009
    74 FR 12316 // PDF Image PDF Version

    Order (1) Pursuant to Section 4(c)of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Position and Funds Held in Customer Segregated Accounts

    Effective Date: March 18, 2009
    03/23/2009
    74 FR 12178 // PDF Image PDF Version

    17 CFR Parts 15, 16, 17, 18, 19, 21, 36, 40 Significant Price Discovery Contracts on Exempt Commercial Markets

    Effective Date: April 22, 2009

    See also:
    • 73 FR 75888, December 12, 2008 PDF ImagePDF Version
      17 CFR Parts 15, 16, 17, 18, 19, 21, 36, and 40 Significant Price Discovery Contracts on Exempt Commercial Markets

    03/09/2009
    74 FR 10038 // PDF Image PDF Version

    Federal Register Notice Requesting Nominations for the Subcommittee on Convergence in Agricultural Commodity Markets Under the Agricultural Advisory Committee
    03/05/2009
    74 FR 9568 // PDF Image PDF Version

    17 CFR Part 4 Electronic Filing of Disclosure Documents

    Effective Date: April 6, 2009

    See also:
    01/21/2009
    74 FR 3570 // PDF Image PDF Version

    Notice of Additional Conditions on the No-Action Relief When Foreign Boards of Trade That Have Received Staff No-Action Relief To Permit Direct Access to Their Automated Trading Systems From Locations in the United States List for Trading From the U.S. Linked Futures and Option Contracts and a Revision of Commission Policy Regarding the Listing of Certain New Option Contracts