| Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 3943 | Procedures for Involuntary Bulk Transfers or Liquidations of Customer Accounts | 3038-AA77 |
| 3944 | Securities Representing Investment of Customer Funds | 3038-AB22 |
| Final Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 3945 | Risk Assessment for Holding Company Systems | 3038-AB01 |
| 3946 | Prohibition on Voting by Interested Members | 3038-AB03 |
| 3947 | Account Identification for Orders Submitted on Behalf of Multiple Customer Accounts | 3038-AB08 |
| 3948 | Use of Electronic Media by Commodity Pool Operators and Commodity Trading Advisors | 3038-AB17 |
| 3949 | Option Large Trader Report | 3038-AB19 |
| Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 3950 | Financial Reporting and Debt-Equity Ratio Requirements for Futures Commission Merchants and Introducing Brokers | 3038-AB13 |
| 3951 | Financial Reports of Futures Commission Merchants and Introducing Brokers | 3038-AB18 |
| 3952 | Contract Market Rules; Submission of Rules to the Commission; Exemption of Certain Rules | 3038-AB20 |
| 3953 | Revised Procedures for Commission Review and Approval of Application for Contract Market Designations and of Exchange Rules Relating to Contract Terms and Conditions | 3038-AB21 |