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Commodity broker
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#	Item
151	Q&A: Banks Serving as Insurance Agents Add to Reading List Source URL: www.fincen.gov Language: English - Date: 2012-04-23 14:16:57 Finance Commodity Futures Trading Commission Commodities market Financial markets Commodity broker Options Clearing Corporation Financial economics Futures contract Financial system
152	Guidance FIN-2010-G005 Issued: November 23, 2010 Effective: January 3, 2011 Subject: Add to Reading List Source URL: fincen.gov Language: English - Date: 2010-12-03 09:22:24 Bank Secrecy Act Suspicious activity report Financial markets Financial adviser Commodity Futures Trading Commission U.S. Securities and Exchange Commission Futures contract Financial Crimes Enforcement Network Broker-dealer Financial economics Finance Financial system
153	Request for Order Exempting Certain Persons from Broker-Dealer Registration and Related Requirements, and from Clearing Agency Registration and Related Requirements Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-13 16:38:22 Self-regulatory organizations Securities Financial markets Chicago Mercantile Exchange Futures contract Clearing house Futures exchange Commodity Futures Trading Commission Credit default swap Financial economics Finance Financial system
154	PDF Document Add to Reading List Source URL: www.fincen.gov Language: English - Date: 2008-03-12 07:51:53 Financial system Corporate crime U.S. Securities and Exchange Commission Suspicious activity report Commodity Futures Trading Commission Futures contract Broker-dealer Short Bank Secrecy Act Finance Financial economics Financial markets
155	Final Rule: Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-09-13 16:35:36 Financial markets Options Clearing Corporation Short Futures contract Commodity Futures Trading Commission Commodity Futures Modernization Act Broker-dealer Securities Investor Protection Corporation Security Financial economics Finance Financial system
156	Microsoft Word[removed]Form SBSE-A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-12 16:59:02 United States Securities and Exchange Commission Financial system Finance Securities Exchange Act Security Broker-dealer Commodity Pool Operator U.S. Securities and Exchange Commission Securities Act 73rd United States Congress United States securities law Financial economics
157	Conformed to Federal Register Version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No[removed]; File No. S7[removed]RIN 3235-AL12 Capital, Margin, and Segregation Requirements for Security-Based Swap Deale Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-27 13:52:50 Financial markets Systemic risk Financial services 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Commodity Futures Trading Commission Broker-dealer Derivative Short Financial economics Finance Financial system
158	Appendix A [Note: Appendix A to the preamble will not appear in the Code of Federal Regulations.] Form BD-N OMB APPROVAL OMB Number: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2001-08-22 09:58:35 Financial markets Financial services Commodities market Stock market Futures contract Commodity Futures Trading Commission U.S. Securities and Exchange Commission National Futures Association Broker-dealer Financial economics Financial system Finance
159	Federal Register / Vol. 77, No[removed]Monday, July 16, [removed]Rules and Regulations and add paragraphs (1) and (2) as set forth below. 3. In Category 2: A. On page 734, in 2B009, remove the text after ‘‘Related Defin Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2012-07-14 02:04:18 Finance Foreign exchange market Foreign exchange companies Financial services Commodity Futures Trading Commission Broker-dealer Dodd–Frank Wall Street Reform and Consumer Protection Act Exchange rate Short Economics Financial economics Financial markets
160	Interim Final Rule: Retail Foreign Exchange Transactions Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-22 17:55:35 Financial economics Finance Foreign exchange companies Spot market Net capital rule Broker-dealer Commodity Futures Trading Commission Electronic trading platform Exchange rate Economics Foreign exchange market Financial markets

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