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Federal Register / Vol. 70, No. 228

Broker-Dealers

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November 29 2005

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Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution...

Broker-Dealers

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November 1 2005

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Compliance Newsletter

Broker-Dealers

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September 1 2005

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NFA Interpretive Notice 9056 — NFA Compliance Rule 2-6: Conducting Commodity Futures Business With...

CPO/CTAs

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July 20 2005

In the last several years, NFA has encountered several instances where brokers, who have been barred from NFA membership as a result of an NFA ...

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WHITE PAPER ON THE ROLE OF COMPLIANCE

BD Compliance Toolbox

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July 1 2005

<img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" alt=""/>

Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member’s Supervisory Policies and...

Broker-Dealers

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April 1 2005

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SENATE BILL No. 192

BD Compliance Toolbox

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February 10 2005

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Re: Request for no-action relief on behalf of Edward Mahaffy

Investment Advisers

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March 6 2003

March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...

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Broker-Dealer Exemption from Sending Certain Financial Information to Customers

Broker-Dealers

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November 26 2002

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46920; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission ("Commission")ACTION:Proposed ...

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NFA Interpretive Notice 9048 — NFA Compliance Rule 2-4: The Best Execution Obligation of...

CPO/CTAs

-

July 31 2002

A Member or Associate must consider the relevant facts and circumstances including, at a minimum, the following factors in discharging its obligation to use reasonable ...

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