1999 Comment Letters

12/12/99
NYSE Information Memo 99-32 on Customer Complaint Reporting Procedures Under NYSE Rule 351(d)
11/24/99
Comment Letter re: Treatment of Repos under Investment Company Act of 1940
11/12/99
Regulations under Section 355(e) of the Internal Revenue Code
11/12/99
Values of Derivatives Under Section 475 of the Internal Revenue Code
11/08/99
Comment Letter to FDIC re Treatment by FDIC as Conservator or Receiver
11/04/99
Notice To Members 99-79 Proposed Advertising Rules
10/29/99
Proposed Rule 206(4)-5 -- File No. S7-19-99 -- Pay to Play
10/28/99
Notice to Members 99-81 Proposed Compensation Rules
10/22/99
Release No. 34-41875; File No. SR-NASD-99-41; Notice of Filing of Proposed Rule Change by the NASD, Inc Relating to Opening of Day-Trading Accounts
10/19/99
Capital Treatment Federal Reserve Bank of New York (FRBNY) Standby Financing Facility
10/08/99
FMLG Comment Letter on UNICTRAL Draft Convention
10/08/99
Letter on UNCITRAL Draft Convention on Assignment in Receivables Financing
10/05/99
Merchant Banking Provisions of the Financial Modernization Legislation
10/04/99
Comment Letter re: Proposed Rule Regarding Marketable Treasury Securities Ops
10/04/99
Comment Letter re: FRBNY's 2nd Draft of Proposed Standby Financing Facility
09/30/99
Comment Ltr re: Rules G-32, G-36 and Rule 15c2-12
09/27/99
Comment Letter re: FASB's Proposed Technical Bulletin; SPEs
09/27/99
Comment Letter re: FASB Statement No. 125
09/22/99
Comment Letter re: FRBNY's Proposed Standby Financing Facility
08/26/99
Notice To Members 99-45 Guidance on Members' Supervisory Responsibilities
08/25/99
Request for Expedited Business Review Clearance: Securities Industry information exchange to help address conversion to decimal-based trading increments
08/23/99
Clearing Firm Committee Additional Comments on Nasdaq Application of the OptiMark System
08/10/99
The Depository Trust Company Notice of Filing of Amendment to Proposed Rule Change Relating to Profile Modification Feature of the Direct Registration System -- Release No. 34-41643, SR-DTC-99-16
07/30/99
Comment Letter re: Using Cash Flow Information and Present Value in Accounting Measurements
07/30/99
Notice to Members 99-54 Arbitrator-Ordered Expungements
07/29/99
SIA Suggestions for Inclusion in the Forthcoming Securities Markets Enhancement Act
07/29/99
Reaction of US Securities Firms to Corrigan-Thieke Report
07/27/99
Prime Brokerage January 25, 1994 "no-action letter"
07/26/99
Comment Letter re: Proposed Daily Transaction Report
07/23/99
Comment Letter re: GSCC's Cross-Margining Program
07/22/99
Nasdaq Application of OptiMark -- SR-NASD-98-85
07/21/99
Comment Letter re: Proposed Amendment to Regulation A
07/16/99
Notice to Members 99-51 Chief Compliance Officers
07/14/99
The Depository Trust Company Notice of Filing of Proposed Rule Change Relating to Profile Modification Feature of the Direct Registration System -- Release No. 34-41535, SR-DTC-99-16
07/12/99
Ability of Plan Sponsors to Retain Consultants Affiliated with Broker-Dealers
07/08/99
Proposed Rule Change Relating to the Creation of a Separate Subsidiary to Administer Dispute Resolution Programs -- File No. SR-NASD-99-21
07/08/99
Extended Trading Hours
06/30/99
Proposed Rule Change and Amendment No. 1 Relating to the Arbitration Process for Claims of Employment Discrimination -- File No. SR-NASD-99-08
06/28/99
Amendments to Freedom of Information Act, Privacy Act and Confidential Treatment Rules, File No. S7-14-99
06/16/99
Letter to the Federal Reserve Bank of New York Advocating the Purchase of STRIPS in Open Market Operations
06/07/99
Comment Ltr to Dept of HUD re: GNMA Release of Geographic & Other Data on MBS
06/04/99
Notice to Members 99-32/Proposed Day Trading Rules
06/02/99
Comment Letter re: Proposed Amendments to G-38
06/02/99
NASD Agency Quotation and Related Proposals -- File Nos. SR-NASD-99-09, 99-16, and 99-11
06/01/99
Comment Letter re: Application of MSRB Rules to Municipal Fund Securities
05/24/99
Comment Letter on FASB Exposure Draft
05/14/99
Comments on Legislative Proposal to Address Microcap Fraud Proposed by the SEC
05/14/99
Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations -- File No. SR-NASD-99-07
05/12/99
Proposed Rules - The Regulation of Takeovers and Securityholder Communications (File No. S7-28-98)
05/12/99
Comment on The Regulation of Securities Offerings - File No. S7-30-98 (Aircraft Carrier)
05/11/99
Letter to Senate Small Business Committee on SBA
05/07/99
FASB; FAS 133 Comment Letter of 7May99
05/06/99
Comment Letter on Proposed Amendments to Rule 15c2-11; File No. S7-5-99
04/30/99
Comment Letter re: Statement 125
04/22/99
SBA Letter Follow-Up
04/22/99
SBA Premium Refund Practices Letter
04/21/99
Final Withholding and Information Reporting Regulations
04/21/99
Final Withholding and Information Reporting Regulations
04/20/99
Transition Provisions: Hedging With Intercompany Derivative Contracts
04/14/99
Comment Letter re: Year 2000 Compliance
04/13/99
Comment Letter re: MSRB Rule G-38
04/12/99
Comment on the Proposed Rule Establishing Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents Release No. 34-41142; File No. S7-8-99
04/09/99
Commodity Exchange Act Reauthorization
04/07/99
Support Recommendation to extend Comment Period on Securities Exchange Act Release No. 41110 (File No. S7-5-99)
04/07/99
Comment Letter re: Rule 15c2-11
04/06/99
Proposed NASD Recommendation Regarding Rule 2315
03/29/99
Comment Letter to FASB re: Statement No. 125
03/29/99
Transition Provisions for Hedge Accounting
03/15/99
Final Withholding Regulations and the Model Qualified Intermediary Withholding Agreement - Internal Revenue Service Notice 99-8
03/15/99
Practice of "mini-tenders" may be Harmful to Investors
03/10/99
Comment Letter re: GSCC's GCF Repo Service
03/08/99
Proposed Amendments to Procedures for Monitoring Bank Secrecy Compliance
03/05/99
NASD Proposal to grant temporary cease and desist authority to the enforcement staff to NASDR -- Release No. 34-40826; File No. SR-NASD-98-80
03/02/99
Comment Letter to FDIC
03/01/99
Foreign Application of the Three-Quote Rule
02/23/99
Notice to Members 98-81 Obsolete Rules
01/26/99
Comment Letter on Electronic Delivery
01/26/99
Comment Letter re: MSRB Rule G37
01/26/99
Hedging with Inter-Company Derivative Contracts
01/22/99
Release No. 34-40794 Relating to Enhanced Supervision of Unregistered Persons Performing Limited Marketing Activities
01/11/99
Preliminary Draft of Amendment of Statement 125

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