| COMMENT FILE          NUMBER: | **01--010** | 8/17/01 08:42 AM |
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| **______________________________________________________________________** |
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| **17 CFR Parts 3 and 170          Notice Registration as a Futures Commission** |
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| **Merchant or          Introducing Broker for Certain Securities Brokers or** |
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| **Dealers** |
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| ______________________________________________________________________ |
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| FR CITE: | 66 FR 27476 (May 17,          2001) |
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| CLOSES: | 6/18/01 | 7/11/01 |
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| EXTENDED: | 6/22/01 |
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| **______________________________________________________________________** |
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| **FILE          CONTENTS** |
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| **(FR = Federal          Register; NC = Non Comment or Background Material; CL = Comment          Letter)** |
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| Documents which do not          have PDF links are availabe on request to [email protected] by using          the electronic |
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| request form. Electronic          distribution of the documents is possible, depending on the          requester's ability to receive |
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| them. Paper copies of          documents are available within the Washington, D.C., area through the          Commission's |
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| Public Reading Room and          outside the area through use of the electronic request form. Fees of          15 cents per page |
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| apply to paper          copies. |
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| **REQUEST FORM** | **If you are unfamiliar with PDF files, click here for          help** |
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| **______________________________________________________________________** |
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| DOCUMENT: | **FR** | **3** |
|-----------|--------|-------|

|  | **Final rule** |
|--|----------------|

| DATE: |  | 8/17/01 | FR PAGE: |  | 43080 | PAGES: |  | 4 | PDF SIZE: | 49 KB | PDF LINK: | /files/foia/ |
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|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **FR** | **2** |
|-----------|--------|-------|

|  | **Reopening and          extension of comment period** |
|--|---------------------------------------------------------|

| DATE: |  | 6/22/01 | FR PAGE: |  | 33494 | PAGES: |  | 1 | PDF SIZE: | 31 KB | PDF LINK: | /files/foia/ |
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|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **FR** | **1** |
|-----------|--------|-------|

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

| DATE: |  | 5/17/01 | FR PAGE: |  | 27476 | PAGES: |  | 5 | PDF SIZE: | 53 KB | PDF LINK: | /files/foia/ |
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|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **CL** | **5** |
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|  | **Futures Industry          Association (FIA)** |
|--|--------------------------------------------------|

| DATE: |  | 7/12/01 | FR PAGE: |  | N/A | PAGES: |  | 2 | PDF SIZE: | 78 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-----|--------|--|---|-----------|-------|-----------|--------------|

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