Regulatory Alerts

Update Title
1906 JAC Regulatory Alert #19-06 - Treatment of Separate Accounts by Futures Commission Merchants - Secured 30.7
1905 JAC Reglulatory Alert #19-05 - Holidays - Financial Related Regulatory Reporting Requirements
1904 JAC Reglulatory Alert - CFTC Letter No.19-17 July 2019
1903 CFTC Regulation 1.56(b) - Prohibition of Guarantee Against Loss
1902 Combining Accounts for Margin Purposes
1901 Reporting Requirements for Good Friday, April 19, 2019
1804 JAC Regulatory Alert - Residual Interest Withdrawals
1803 JAC Regulatory Alert - Omnibus Accounts Updated, June 26, 2018
1802 JAC Regulatory Alert - Omnibus Accounts, June 6, 2018
1801 JAC Regulatory Alert - Reporting Requirements for Good Friday, March 30, 2018
1701 JAC Regulatory Alert - Reporting Requirements for Good Friday, April 14, 2017
1601 JAC Regulatory Alert - Reporting Requirements for Good Friday, March 25, 2016
1501 JAC Regulatory Alert - July 3 2015 Reporting
1409 CFTC No-Action Relief pertaining to Regulation 30.7
1408 Joint Audit Committee Web Site
1407 Restrictions on Trading While Undermargined
1406 CFTC Regulations as to Residual Interest and the Undermargined Capital Charge
1405 CFTC Regulation 1.11(c)(4) – Risk Management Program Submission
1404 Disclosure of Financial Information on FCM’s Web-Site
1403 Receipt of Margin Funds and Combining Accounts for Margin
1402 Semi-Monthly Segregated Investment Detail Reports
1401 Segregated, Secured 30.7 and Cleared Swap Customer Acknowledgment Letters
1302 Enhancing Customer Protections – Final Rules 17 CFR Parts 1, 3, 22, 30, and 140
1301 CFTC Part 162 – Subpart C – identity Theft red Flags, Regulation 162.30
1203 Part 22 of CFTC Regulations – Treatment of Cleared Swaps Customer Collateral – Legally Segregated
Operationally Commingled (“LSOC”) Compliance Calculation
1202 CFTC Regulations 1.25 and 30.7 – Effective Date and Compliance Date
1201 CFTC Regulations 1.25 and 30.7 – Investment of Customer Segregated and Secured Amount Funds
1105 UPDATE – Balances Held with MF Global Inc and Affiliated Entities
1104 Balances Held with MF Global Inc. and Affiliated Entities
1103 Requirements for Veteran’s Day, November 11, 2011
1102 Held with MF Global Inc. and Affiliated Entities
1101 CFTC Regulations 1.72, 1.73, and 1.74
1008 Amendments to CFTC Regulations 1.25 and 30.7 regarding Investment of Customer
Segregated and Secured Funds
1007 Reporting Requirements for Veteran’s Day, November 11, 2010
1006 CFTC Regulation 1.25 and SEC Rule 22e-3 – Redemption of Interests in Money Market Mutual Funds
1005 Pricing for Readily Marketable Securities
1004 Currency Capital Charge
1003 Adopted Amendments to Adjusted Net Capital Requirements Applicable to Futures Commission
Merchants and Introducing Brokers
1002 Temporary Liquidity Guarantee Program
1001 Electronic Filing Regulations
0909 Revised Margins Acceptability by Exchange
0908 Power of Attorney Law Changes in New York
0907 Investments in Securities>
0906 Revised Margin Deposit by Exchange Exhibit
0905 Update – The Reserve Primary Fund Valuation
0904 CFTC Proposed Rules on Acknowledgment Letters for Customer Funds and Secured Amount Accounts
0903 Update – The Reserve Primary Fund Valuation
0902 FDIC Temporary Liquidity Guaranteed Collateral
0901 Covered Positions – Proprietary Capital Charge
0807 Offsetting/securing Deficits with Readily Marketable Collateral (11/19/08)
0806 CFTC Regulation 1.20 and Non-Regulated Delivery Transactions (11/11/08)
0805 CFTC Staff Letter – Reserve Primary Fund (9/25/08)
0804 CFTC Regulation 1.25 - Investment of Customer Funds (5/19/2008)
0803 Margining Accounts in Different Origins (3/27/2008)
0802 Liquidity of CFTC Regulation 1.25 Permitted Investments (3/25/2008)
0801 CFTC Staff Letter - Investments Held in Segregated Accounts (1/11/08)
0703 Investments-Due Diligence Reminder (12/12/07)
0702 Letters of Credit and Revised Margin Deposit Acceptability by Exchange Exhibit (6/11/07)
0701 CFTC Regulations 1.12 and 1.17 Amendments – Limitations on Withdrawals of Equity Capital (3/9/2007)
0601 Reminder: Amendment of Interpretation No. 10 Re: Third Party Custodial Accounts (1/4/2006)
0501 Amendment of Interpretation No. 10 Re: Third Party Custodial Accounts (6/17/2005)
0406 Subloan Templates for CFTC Adoption of Risk-Based Capital (10/1/2004)
0405 WinJammer updates for CFTC Adoption of Risk-Based Capital (9/17/2004)
0404 CFTC Adoption of Risk-Based Capital and Other Reporting Requirements (8/20/2004)
0403 Customer Identification Program for FCMs and IBs (7/7/2004)
0402 Revised: Margins Handbook Update - Margin Deposits Acceptability by Exchange Exhibit (3/29/04)
0401 CFTC Regulation 1.25 Amendments - Investment of Customer Funds (3/3/04)
0306 The Clearing Corporation Stock Valuation and Presentation (12/17/03)
0305 CFTC Proposed Rules on Risk-Based Capital and Other Reporting Requirements (7/18/03)
0304 Margins Handbook Update-Margin Deposits Acceptability by Exchange Exhibit (6/17/03)
0303 NFA Compliance Rule 2-38 – Business Continuity and Disaster Recovery Plan (5/23/03)
0302 Regulation 1.25 – Allowable Investments of Customer Segregated Funds (2/20/03)
0301 CFTC Regulation 1.49–Denomination of Customer Funds & Location of Depositories (2/19/03)
0202 Anti-Money Laundering Compliance Program (5/29/2002)
0201 Additional Relief for Records Lost or Destroyed in the World Trade Center Attacks (2/19/02)
0107 CFTC Regulation 1.25 - Allowable Investments of Customer Segregated Funds (12/27/2001)
0106 Executive Order on Terrorist Financing (9/25/2001)
0105 Temporary Relief from Certain Commission Regulations as a Result of the World Trade Center Disaster (9/20/01)
0104 CFTC Final Rule on Offsetting Debit/Deficits for Segregation and Secured Amount Statement Reporting (8/9/01)
0103 CFTC Regulation 1.25 - Investments of Customer Segregated Funds (6/4/01)
0102 Recording Aged Reconciling Items (4/12/01)
0101 CFTC Final Rule: Interpretive Statement regarding Rule 30.7 (3/16/01)
0005 CFTC Final Rules on 5% Foreign Broker Capital Charge (12/6/00)
0004 CFTC Proposed Rules (7/6/00)
0003 CFTC Final Rules on Equity Withdrawal Restriction and Secured Demand Notes (5/18/00))
0002 Regulatory Treatment of Various Investment Instruments (5/18/00)
0001 Receivership of Independent Trust Corporation (Intrust) (4/18/00)
9906 Year 2000 Transition (11/8/99) (JAC Update)
Year 2000 Transition (11/8/99) (PDF Format)
Year 2000 Transition (11/8/99) (Workd Format)
9905 Margins Handbook - Second Edition (9/20/99)
9904 CFTC Year 2000 Contingency Planning for Commission Registrants (6/21/99)
9903 Year 2000 Survey (5/11/99)
9902 CFTC Record Retention Requirement Regarding Year 2000 Testing (3/17/99)
9901 Recent CFTC Advisories Regarding Material Inadequacies Related to Year 2000 and New Euro-Currency Compliance (1/11/99)
9808 CFTC Final Rule on Notifications of Undersegregated Conditions (9/21/98)
9807 CFTC Elimination of the Capital Charge for Customer Short Option Value (8/1/98)
9806 CFTC Advisory #17-98 Reporting and disclosure requirements for year 2000 Problems (6/1/98)
9805 CFTC Prop. To Eliminate Capt. Charge for Customer Short Opt. Value (3/31/98)
9804 Amendments to CFTC Regulations Regarding Risk Disclosure Statements (3/13/98)
9803 Year 2000 Compliance Questionnaire (2/27/98)
9802 CFTC Proposal for Notifications of Undersegregated Conditions (1/22/98)
9801 CFTC Request for Comments on Proposed Rule Making (1/9/98)
9711 Year 2000 Preparedness (12/17/97)
9710 Revised Financial Reporting and Filing Requirements (12/15/97)
9709 Relief from 5% foreign broker charge (10/7/97)
9708 Proposed Amendments to CFTC Regulations Regarding Risk Disclosure Statements (10/7/97)
9707 Amendments to CFTC Regulation 1.25 (Investment of Customer Funds) 9/11/97)
9706 Additional Relief from the Short Option Value Charge (8/11/97)
9705 Revised Financial Reporting and Filing Requirements 7/7/97)s
9704 Delivery of Statements by Means of Electronic Media (6/27/97)
9703 Relief from Separate Acknowledgment Letters for customer Accounts at Domestic Clearing Organizations (3/8/97)
9702 Relief from 5% Foreign Broker Charge (2/13/97)
9701 CFTC Rule Changes - Financial Reporting, Debt to Equity Ratio Requirements and filing of Guarantee Agreements (2/18/97)
9606 SEC Rule 270.17f-6 - Third Party Custodial Accounts (12/30/96)
9605 Deposits Held With the London Clearing House (10/17/96)
9604 CFTC Advisory on Third Party Custodial Accounts (8/9/96)
9603 CFTC Rule Changes (6/5/96)
9602 CFTC Risk Assessment Update (3/19/96)
9601 Proposed Rule Changes - Financial Reporting and Debt to Equity Ratio Requirements (3/8/96)