| COMMENT FILE          NUMBER: | **04--007** | 11/30/2004 04:58          PM |
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| **17 CFR Parts 1 and 38          Execution of Transactions: Regulation 1.38 and** |
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| **Guidance on Core          Principle 9** |
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|  | __________________________________________________________ |
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|  | FR CITE: | 69 FR 39880 (July 1,          2004) |
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|  | CLOSES: | 08/30/2004 |
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|  | EXTENDED: |
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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 available 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 |
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|  | requester's ability          to receive them. Paper copies of documents are available within the          Washington, D.C., |
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|  | area through the          Commission's Public Reading Room and outside the area through use          of the electronic |
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|  | request form. Fees of 15          cents per page apply to paper copies. |
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| There will be a delay of          approximately 24 hours between the time at which a comment is          received and the |
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| time at which it appears          on this web site. |
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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** | **1** |
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|  | **Proposed          rules** |
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| DATE: | 07/01/2004 | FR PAGE: | 39880 | PAGES: | 7 | PDF SIZE: | 79 KB | PDF LINK: | /files/foia/f |
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| DOCUMENT: | **CL** | **7** |
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|  | **Eurex US** |
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| DATE: | 11/29/2004 | FR PAGE: | N/A | PAGES: | 5 | PDF SIZE: | 68 KB | PDF LINK: | /files/foia/c |
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| DOCUMENT: | **CL** | **6** |
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|  | **Man          Financial** |
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| DATE: | 10/04/2004 | FR PAGE: | N/A | PAGES: | 4 | PDF SIZE: | 47 KB | PDF LINK: | /files/foia/c |
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| DOCUMENT: | **CL** | **5** |
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|  | **DRW Trading          Group** |
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| DATE: | 09/28/2004 | FR PAGE: | N/A | PAGES: | 11 | PDF SIZE: | 124 KB | PDF LINK: | /files/foia/c |
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