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Comments on Proposed Rule:
Customer Margin Rules Relating to Security Futures

[Release No. 34-44853; File No. S7-16-01]

  • Memorandum from Lisa N. Jones regarding June 28, 2002 SEC and CFTC staff meeting with the Securities Industry Association ("SIA") and Futures Industry Association ("FIA") dated July 1, 2002 (File name: 062802siafia.htm)
  • Memorandum by Lisa N. Jones re conversation with Securities Industry Association and the Futures Industry Association on May 10, 2002 dated May 13, 2002 (File name: 051002sia.htm)

  • Memorandum by Lisa N. Jones re conversation with the Options Clearing Corporation on May 3, 2002 dated May 10, 2002 (File name: 050302occ.htm)

  • Memorandum by Lisa N. Jones re conversation with New York Stock Exchange Inc. on April 26, 2002 dated April 29, 2002 (File name: 042602nyse.htm)

  • Memorandum by Lisa N. Jones re conversation with SunGard on February 21, 2002 dated February 25, 2002 (File name: 022102sungard.htm)

  • Memorandum by Lisa N. Jones re conversation with Rolfe & Nolan on February 21, 2002 dated February 25, 2002 (File name: 022102rolfeandnolan.htm)

  • Memorandum by Lisa N. Jones re conversation with Options Clearing Corporation on February 20, 2002 dated February 25, 2002 (File name: 022002occ.htm)

  • Memorandum by Lisa N. Jones re conversation with Credit Suisse First Boston on February 19, 2002 dated February 25, 2002 (File name: 021902csfb.htm)

  • Memorandum by Lisa N. Jones re conversation with Nasdaq Liffe on February 15, 2002 dated February 15, 2002 (File name: 021502nasdaqliffe.htm)

  • Memorandum by Lisa N. Jones re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on February 7, 2002 dated February 7, 2002 (File name: 020702sia.htm)

  • Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on February 5, 2002 dated February 5, 2002 (File name: 020502cboe.htm)

  • Memorandum by Hong-Anh Tran re conversation with Goldman Sachs on January 3, 2002 dated January 31, 2002 (File name: 010302gs.htm)

  • Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 4, 2002 dated January 31, 2002 (File name: 010402ms.htm)

  • Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on January 10, 2002 dated January 31, 2002 (File name: 011002cboe.htm)

  • Memorandum by Hong-Anh Tran re SEC meeting with Options Clearing Corporation on January 17, 2002 dated January 31, 2002 (File name: 011702occ.htm)

  • Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 18, 2002 dated January 31, 2002 (File name: 011802ms.htm)

  • Memorandum by Hong-Anh Tran re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on January 23, 2002 dated January 31, 2002 (File name: 012302sia.htm)

  • Memorandum by Hong-Anh Tran re conversation with Chicago Board Options Exchange on January 23, 2002 dated January 31, 2002 (File name: 012302cboe.htm)

  • Memorandum by Hong-Anh Tran re conversation with Morgan Stanley on January 25, 2002 dated January 31, 2002 (File name: 012502ms.htm)

  • Memorandum by Hong-Anh Tran re SEC and CFTC meeting with Securities Industry Association and the Futures Industry Association on November 19, 2001 dated January 31, 2002 (File name: 111901sia.htm)

  • Memorandum by Hong-Anh Tran re SEC meeting with Options Clearing Corporation on December 3, 2001 dated January 31, 2002 (File name: 120301occ.htm)

  • Comments of John G. Gaine, President, The Managed Funds Association, January 11, 2002 (File name: gaine1.htm)

  • Comments of Bernard E. Klein, Hollywood, FL, December 18, 2001 (File name: klein1.htm)

  • Comments of Susan Milligan, Options Clearing Corporation, December 14, 2001 (File name: milligan1.htm)

  • Amended Comments of George Ruth, Chairman, Rules & Regulations Committee, Credit Division, Securities Industry Association, December 11, 2001 (File name: ruth1.htm)

  • Comments of William J. Brodsky, Chairman and Chief Executive Officer, Chicago, Board Options Exchange Incorporated, December 7, 2001 (File name: brodsky1.htm)

  • Comments of Kenneth M. Rosenweig, Mayer, Brown & Platt, Chicago, IL, December 5, 2001 (File name: rosenweig1.htm)

  • Comments of John M. Damgard, President, Futures Industry Association and Mark E. Lackritz, President, Securities Industry Association, December 5, 2001 (File name: damgard1.htm)

  • Comments of James A. Gary, Executive Vice President, ABN AMRO Incorporated, Chicago, IL, December 5, 2001 (File name: gary1.htm)

  • Comments of Stephen Auerbach, Chief Operating Officer, SunGard Futures Systems, December 5, 2001 (File name: auerbach1.htm)

  • Comments of Kathleen M. Hamm, Director of Market Regulation, Senior Vice President- Regulation and Compliance, Nasdaq Liffe Markets, LLC, New York, NY, December 5, 2001 (File name: hamm1.htm)

  • Comments of Russell R. Wasendorf, Chairman & Chief Executive Officer, Peregrine Financial Group, Inc., December 5, 2001 (File name: wasendorf1.htm)

  • Comments of The American Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, the Options Clearing Corporation, Pacific Exchange and Philadelphia Stock Exchange, December 5, 2001 (File name: exchanges1.htm)

  • Comments of Thomas W. Sexton, Vice President and General Counsel, National Futures Association, Chicago, IL, December 5, 2001 (File name: sexton1.htm)

  • Memorandum of Meeting with the FIA/SIA Joint Steering Committee on Securities Futures Regarding the Proposed Single Stock Future Margin and Customer Protection Rules (Exchange Act Release Nos. 44853 and 44854, respectively), November 30, 2001 (File name: gauch1.htm)

  • Comments of Frank Partnoy, Professor of Law, University of San Diego School of Law, October 29, 2001 (File name: partnoy1.htm)

  • Comments of Barbara Wierzynski, General Counsel, Futures Industry Association and Stuart Kaswell, General Counsel, Securities Industry Association, October 16, 2001 (File name: wierzynski1.htm)
     
  • Memorandum from Lisa N. Jones, SEC Division of Market Regulation, October 12, 2001 (File name: nelson1.htm)

 

http://www.sec.gov/rules/proposed/s71601.shtml


Modified: 10/16/2014