| Update |
Title |
| 2401 |
Documentation of Discretionary Trading Authority |
| 2202 |
CFTC Regulation 1.11 – FCM Risk Management Program |
| 2201 |
Holidays - Financial Related Regulatory Reporting Requirements - Updated |
| 2102 |
Holidays - Financial Related Regulatory Reporting Requirements - Updated |
| 2101 |
Updated Procedures to Submit Subordinated Loan Agreements |
| 2003 |
CFTC Letter No. 20-28 – Supplemental Advisory to CFTC Letter No. 19-17 |
| 2002 |
CFTC Letter No. 20-28 – Extension of CFTC Letter No. 19-17 Time-Limited No-Action Relief with Respect to the Treatment of Separate Accounts by Futures Commission Merchants |
| 2001 |
Guaranteed Obligations and Liabilities of Subsidiaries or
Affiliates |
| 1906 |
Treatment of Separate Accounts by Futures Commission Merchants -
Secured 30.7 |
| 1905 |
Holidays - Financial Related Regulatory Reporting Requirements
|
| 1904 |
CFTC Letter No.19-17 July 2019 |
| 1903 |
CFTC Regulation 1.56(b) - Prohibition of Guarantee Against Loss
|
| 1902 |
Combining Accounts for Margin Purposes |
| 1901 |
Reporting Requirements for Good Friday, April 19, 2019 |
| 1804 |
Residual Interest Withdrawals |
| 1803 |
Omnibus Accounts Updated, June 26, 2018 |
| 1802 |
Omnibus Accounts, June 6, 2018 |
| 1801 |
Reporting Requirements for Good Friday, March 30, 2018 |
| 1701 |
Reporting Requirements for Good Friday, April 14, 2017 |
| 1601 |
Reporting Requirements for Good Friday, March 25, 2016 |
| 1501 |
July 3 2015 Reporting |
| 1409 |
CFTC No-Action Relief pertaining to Regulation 30.7 |
| 1408 |
Joint Audit Committee Web Site |
| 1407 |
Restrictions on Trading While Undermargined |
| 1406 |
CFTC Regulations as to Residual Interest and the Undermargined Capital
Charge |
| 1405 |
CFTC Regulation 1.11(c)(4) – Risk Management Program Submission
|
| 1404 |
Disclosure of Financial Information on FCM’s Web-Site |
| 1403 |
Receipt of Margin Funds and Combining Accounts for Margin |
| 1402 |
Semi-Monthly Segregated Investment Detail Reports |
| 1401 |
Segregated, Secured 30.7 and Cleared Swap Customer Acknowledgment
Letters |
| 1302 |
Enhancing Customer Protections – Final Rules 17 CFR Parts 1, 3, 22,
30, and 140 |
| 1301 |
CFTC Part 162 – Subpart C – identity Theft red Flags, Regulation
162.30 |
| 1203 |
Part 22 of CFTC Regulations – Treatment of Cleared Swaps Customer
Collateral – Legally Segregated
Operationally Commingled (“LSOC”) Compliance Calculation |
| 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 |
Balances Held with MF Global Inc. and Affiliated Entities |
| 1103 |
Requirements for Veteran’s Day, November 11, 2011 |
| 1102 |
Held with MF Global Inc. and Affiliated Entities |
| 1101 |
CFTC Regulations 1.72, 1.73, and 1.74 |
| 1008 |
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 |
Pricing for Readily Marketable Securities |
| 1004 |
Currency Capital Charge |
| 1003 |
Adopted Amendments to Adjusted Net Capital Requirements Applicable to
Futures Commission
Merchants and Introducing Brokers |
| 1002 |
Temporary Liquidity Guarantee Program |
| 1001 |
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 |
Update – The Reserve Primary Fund Valuation |
| 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 |
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)
|
| 9907 |
Joint Audit Committee Web Site |
| 9906 |
Year 2000 Transition (11/8/99) (JAC Update)
Year 2000 Transition (11/8/99) (PDF 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) |