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United States
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Regulatory Information
2004_register
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2011-05-10
article
Distribution of “Risk Disclosure Statement” by Futures Commission Merchants and Introducing Brokers
Proposed Rules
D09002ee1bde535ab
D09002ee1bde53621
United States
Commodity Futures Trading Commission
originator
org
United States Government Agency or Subagency
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Rule 1.55 to provide that non- institutional customers may indicate with a single signature, in addition to the acknowledgment of receipt of various disclosures and the making of certain elections, the consent referenced in Rules 155.3(b)(2) and 155.4(b)(2) concerning customer permission for futures commission merchants (``FCMs'') and introducing brokers (``IBs'') to take the opposite side of an order.
69 FR 64873
https://www.govinfo.gov/app/details/FR-2004-11-09/04-24949
04-24949
fr09no04-23
RIN 3038-AC16
6351-01-P
https://www.govinfo.gov/app/details/FR-2004-11-09/04-24949
https://www.govinfo.gov/content/pkg/FR-2004-11-09/html/04-24949.htm
https://www.govinfo.gov/content/pkg/FR-2004-11-09/pdf/04-24949.pdf
Brokers
Commodity Futures
Consumer Protection
Disclosure
Reporting and Recordkeeping Requirements
3 p.
64873
64875
69 FR 64873
Code of Federal Regulations
Title 17 Part 1
17 CFR Part 1
Regulation Identification Number 3038-AC16
RIN 3038-AC16
Distribution of “Risk Disclosure Statement” by Futures Commission Merchants and Introducing Brokers; Federal Register Vol. 69, Issue
PRORULE
04-24949
COMMODITY FUTURES TRADING COMMISSION
2004-12-09
6351-01-P
04-24949
Proposed rule.
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Rule 1.55 to provide that non- institutional customers may indicate with a single signature, in addition to the acknowledgment of receipt of various disclosures and the making of certain elections, the consent referenced in Rules 155.3(b)(2) and 155.4(b)(2) concerning customer permission for futures commission merchants (``FCMs'') and introducing brokers (``IBs'') to take the opposite side of an order.
Comments must be received by December 9, 2004.
Lawrence B. Patent, Deputy Director, or Susan A. Elliott, Special Counsel, Compliance and Registration Section, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission. Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone: (202) 418-5439 or (202) 418-5464, or electronic mail: lpatent@cftc.gov or selliott@cftc.gov.
Brokers
Commodity Futures
Consumer Protection
Disclosure
Reporting and Recordkeeping Requirements
Commodity Exchange Act:
Futures commission merchants and introducing brokers; risk disclosure statement distribution,
lpatent@cftc.gov
secretary@cftc.gov
selliott@cftc.gov
http://www.cftc.gov
http://www.regulations.gov
Federal Register
Vol. 69, no. 216
Office of the Federal Register, National Archives and Records Administration
2004-11-09
continuing
daily
deposited
born digital
232 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-2004-11-09
P0b002ee180cfc069
0097-6326
0042-1219
0364-1406
769-004-00000-9
000582072
f:fr09no04
https://www.govinfo.gov/app/details/FR-2004-11-09
https://www.govinfo.gov/content/pkg/FR-2004-11-09/pdf/FR-2004-11-09.pdf
https://www.govinfo.gov/content/pkg/FR-2004-11-09/xml/FR-2004-11-09.xml
fdlp
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DGPO
2011-05-10
2023-05-03
FR-2004-11-09
machine generated
eng
FR
FR-2004-11-09
69
216