| Proposed Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4136 | Procedures for Involuntary Bulk Transfers or Liquidations of Customer Accounts | 3038-AA77 |
| 4137 | Trade Options on the Agricultural Commodities Enumerated in the Commodity Exchange Act (RegPlan Seq. No. 162) | 3038-AB23 |
| 4138 | Distribution of Risk Disclosure Statements By Futures Commission Merchants and Introducing Brokers | 3038-AB24 |
| Final Rule Stage | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4139 | Risk Assessment for Holding Company Systems | 3038-AB01 |
| 4140 | Prohibition on Voting by Interested Members (RegPlan Seq. No. 163) | 3038-AB03 |
| Long-Term Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4141 | Account Identification for Orders Submitted on Behalf of Multiple Customer Accounts | 3038-AB08 |
| Completed Actions | ||
|---|---|---|
| Sequence Number | Title | Regulation Identifier Number |
| 4142 | Use of Electronic Media by Commodity Pool Operators and Commodity Trading Advisors | 3038-AB17 |
| 4143 | Recordkeeping: Option Large Trader Reports by Futures Commission Merchants, Clearing Members, Foreign Brokers and Large Traders | 3038-AB19 |
| 4144 | Securities Representing Investment of Customer Funds | 3038-AB22 |