| COMMENT        FILE NUMBER: | **90--001** | 9/4/98        02:42 AM |
|------------------------------|-------------|-------------------------|

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

|  | **17 CFR        Part 155 Proposed Rule Concerning Restriction on Dual        Trading** |
|--|------------------------------------------------------------------------------------------|

|  | **by Floor        Brokers** |
|--|------------------------------|

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

| FR        CITE: | 54 FR 1047        (January 11, 1990) |
|------------------|---------------------------------------|

| CLOSES: | 4/11/90 | 7/9/90 |
|---------|---------|--------|

| EXTENDED: | 4/10/90 |
|-----------|---------|

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

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

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

| DATE: | 1/11/90 | FR        PAGE: | 0147 | PAGES: | 15 |
|-------|---------|------------------|------|--------|----|

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

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

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

|  | **Extension of comment period** |
|--|---------------------------------|

| DATE: | 4/10/90 | FR        PAGE: | 13288 | PAGES: | 1 |
|-------|---------|------------------|-------|--------|---|

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

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

| DOCUMENT: | **NC** | **1** |
|-----------|--------|-------|

|  | **Statement Submitted by Daniel R. Huber** |
|--|--------------------------------------------|

| DATE: | 7/20/89 | FR        PAGE: | N/A | PAGES: | 7 |
|-------|---------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **NC** | **2** |
|-----------|--------|-------|

|  | **CFTC        Meeting on Broker Association Study and Proposed Rules on Dual Trading        Restriction** |
|--|-------------------------------------------------------------------------------------------------------------|

| DATE: | 1/4/90 | FR        PAGE: | N/A | PAGES: | 62 |
|-------|--------|------------------|-----|--------|----|

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

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

| DOCUMENT: | **NC** | **3** |
|-----------|--------|-------|

|  | **Memorandum from Trading and Markets** |
|--|-----------------------------------------|

| DATE: | 1/3/90 | FR        PAGE: | N/A | PAGES: | 67 |
|-------|--------|------------------|-----|--------|----|

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

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