| COMMENT        FILE NUMBER: | **96--009** | 8/24/98        04:44 PM |
|------------------------------|-------------|--------------------------|

|  | **______________________________________________________________________** |
|--|----------------------------------------------------------------------------|

|  | **17 CFR        Parts 1, 3, 145 and 147 Financial Reporting and Debt-Equity        Ratio** |
|--|----------------------------------------------------------------------------------------------|

|  | **Requirements for Futures Commission Merchants and        Introducing** |
|--|---------------------------------------------------------------------------|

|  | **Brokers** |
|--|-------------|

| ______________________________________________________________________ |
|------------------------------------------------------------------------|

| FR        CITE: | 61 FR 7080        (February 26, 1996) |
|------------------|----------------------------------------|

| CLOSES: | 3/27/96 |
|---------|---------|

| EXTENDED: |
|-----------|

| **______________________________________________________________________** |
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| **FILE        CONTENTS** |
|---------------------------|

| **(FR =        Federal Register; NC = Non Comment or Background Material; CL = Comment        Letter)** |
|-----------------------------------------------------------------------------------------------------------|

| Documents        which do not have PDF links are availabe on request to        [email protected] by using the |
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| electronic        request form. Electronic distribution of the documents is possible,        depending on the |
|-----------------------------------------------------------------------------------------------------------------|

| requester's        ability to receive them. Paper copies of documents are available within        the Washington, D.C., |
|---------------------------------------------------------------------------------------------------------------------------|

| area        through the Commission's Public Reading Room and outside the area        through use of the |
|-----------------------------------------------------------------------------------------------------------|

| electronic        request form. Fees of 15 cents per page apply to paper        copies. |
|-------------------------------------------------------------------------------------------|

|  | **REQUEST FORM** |
|--|------------------|

|  | **______________________________________________________________________** |
|--|----------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **FR** | **1** |
|-----------|--------|-------|

|  | **Proposed        rules** |
|--|----------------------------|

| DATE: | 2/26/96 | FR        PAGE: | 07080 | PAGES: | 8 |
|-------|---------|------------------|-------|--------|---|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **FR** | **2** |
|-----------|--------|-------|

|  | **Final        rules** |
|--|-------------------------|

| DATE: | 1/31/97 | FR        PAGE: | 04633 | PAGES: | 10 |
|-------|---------|------------------|-------|--------|----|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **1** |
|-----------|--------|-------|

|  | **Swiss        Financial Services, Inc.** |
|--|--------------------------------------------|

| DATE: | 3/14/96 | FR        PAGE: | N/A | PAGES: | 2 |
|-------|---------|------------------|-----|--------|---|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **2** |
|-----------|--------|-------|

|  | **LBS        Limited Partnership** |
|--|-------------------------------------|

| DATE: | 3/20/96 | FR        PAGE: | N/A | PAGES: | 1 |
|-------|---------|------------------|-----|--------|---|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **3** |
|-----------|--------|-------|

|  | **Checkers, Simon & Rosner LLP** |
|--|--------------------------------------|

| DATE: | 3/25/96 | FR        PAGE: | N/A | PAGES: | 2 |
|-------|---------|------------------|-----|--------|---|

|  | **-------------------------------------------------------------------------------------------------------------------------------------------------------** |
|--|-------------------------------------------------------------------------------------------------------------------------------------------------------------|

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