| COMMENT FILE NUMBER: | 04--007 | 11/30/2004 04:58 PM |
| __________________________________________________________ |
| 17 CFR Parts 1 and 38 Execution of Transactions: Regulation 1.38 and |
| Guidance on Core Principle 9 |
|
|
__________________________________________________________ |
|
|
FR CITE: | 69 FR 39880 (July 1, 2004) |
|
|
CLOSES: | 08/30/2004 |
|
|
EXTENDED: |
|
|
__________________________________________________________ |
|
|
FILE CONTENTS |
|
|
(FR = Federal Register; NC = Non Comment or Background Material; CL = Comment Letter) |
|
|
Documents which do not have PDF links are available on request to [email protected] by using the |
|
|
electronic request form. Electronic distribution of the documents is possible, depending on the |
|
|
requester's ability to receive them. Paper copies of documents are available within the Washington, D.C., |
|
|
area through the Commission's Public Reading Room and outside the area through use of the electronic |
|
|
request form. Fees of 15 cents per page apply to paper copies. |
| There will be a delay of approximately 24 hours between the time at which a comment is received and the |
| time at which it appears on this web site. |
|
|
REQUEST FORM | If you are unfamiliar with PDF files, click here for help |
| __________________________________________________________ |
| -------------------------------------------------------------------------------------------------------------------- |
| DOCUMENT: | FR | 1 |
|
|
Proposed rules |
| DATE: | 07/01/2004 | FR PAGE: | 39880 | PAGES: | 7 | PDF SIZE: | 79 KB | PDF LINK: | /files/foia/f |
|
|
-------------------------------------------------------------------------------------------------------------------- |
| -------------------------------------------------------------------------------------------------------------------- |
| DOCUMENT: | CL | 7 |
|
|
Eurex US |
| DATE: | 11/29/2004 | FR PAGE: | N/A | PAGES: | 5 | PDF SIZE: | 68 KB | PDF LINK: | /files/foia/c |
|
|
-------------------------------------------------------------------------------------------------------------------- |
| -------------------------------------------------------------------------------------------------------------------- |
| DOCUMENT: | CL | 6 |
|
|
Man Financial |
| DATE: | 10/04/2004 | FR PAGE: | N/A | PAGES: | 4 | PDF SIZE: | 47 KB | PDF LINK: | /files/foia/c |
|
|
-------------------------------------------------------------------------------------------------------------------- |
| -------------------------------------------------------------------------------------------------------------------- |
| DOCUMENT: | CL | 5 |
|
|
DRW Trading Group |
| DATE: | 09/28/2004 | FR PAGE: | N/A | PAGES: | 11 | PDF SIZE: | 124 KB | PDF LINK: | /files/foia/c |
|
|
-------------------------------------------------------------------------------------------------------------------- |