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Task Force on Government Anti-Terrorism Initiatives — Securities
To reach the published document of interest to you, click on the appropriate link below. Under each category, the latest additions are printed in red.

July 23, 2002
Department of Treasury's Financial Crimes Enforcement Network and the Commodity Futures Trading Commission Joint Notice of Proposed Rulemaking Regarding Customer Identification Programs for Futures Commission Merchants and Introducing Brokers. (pdf)

July 23, 2002
Department of Treasury's Financial Crimes Enforcement Network and the Commodity Futures Trading Commission Joint Notice of Proposed Rulemaking Regarding Customer Identification Programs for Futures Commission Merchants and Introducing Brokers. (pdf)

July 23, 2002
Department of Treasury's Financial Crimes Enforcement Network, Comptroller of the Currency, Office of Thrift Supervision, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the National Credit Union Administration Joint Notice of Proposed Rulemaking Regarding Customer Identification Programs for Banks, Savings Associations, and Credit Unions. (pdf)

July 23, 2002
Securities and Exchange Commission and the Department of Treasury's Financial Crimes Enforcement Network Joint Notice of Proposed Rulemaking Regarding Customer Identification Programs For Broker-Dealers. (pdf)

July 23, 2002
Securities and Exchange Commission and the Department of Treasury's Financial Crimes Enforcement Network Joint Notice of Proposed Rulemaking Regarding Customer Identification Programs for Mutual Funds. (pdf)

October 19, 2001
Securities and Exchange Commission Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to the Temporary Use of Personal Cellular Telephones. (pdf)

October 16, 2001
Securities and Exchange Commission Order Regarding Government Securities Reconciliations. (pdf)

October 9, 2001
Securities and Exchange Commission Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Amendment No. 1 and No. 2 Thereto by the American Stock Exchange LLC Relating to the Temporary Amendment of Exchange Rule 220. (pdf)

September 28, 2001
Securities and Exchange Commission Order Regarding Government Securities Reconciliations. (pdf)

September 27, 2001
Commodity Futures Trading Commission Notice of Statement of Commission Policy Regarding Temporary Relief From Certain Provisions of The Commission's Regulations. (pdf)

September 27, 2001
Securities and Exchange Commission Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder. In addition, Orders Extending Emergency Orders Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments and to the American Stock Exchange, LLC. (pdf)

September 27, 2001
Securities and Exchange Commission Interpretation Determining Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan. (pdf)

September 21, 2001
Securities and Exchange Commission Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder. (pdf)

September 21, 2001
Securities and Exchange Commission Notice of Filing and Order Granting Approval to the Temporary Trading of AMEX Options on the Philadelphia Stock Exchange. (pdf)

September 21, 2001
Securities and Exchange Commission Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchanges, Incorporated to Adopt Certain Intermarket Trading System-Related Terms and Conditions Regarding the Temporary Use by the American Stock Exchange LLC of the Facilities of the New York Stock Exchange, Inc. (pdf)

September 20, 2001
Securities and Exchange Commission Interpretation Regarding Bookkeeping Services Provided by Auditors to Audit Clients in Emergency or Other Unusual Situations. (pdf)

September 20, 2001
Securities and Exchange Commission Emergency Order Taking Temporary Action to Respond to Market Developments Concerning the American Stock Exchange LLC. (pdf)

September 20, 2001
Securities and Exchange Commission Emergency Order Taking Temporary Action to Respond to Market Developments. (pdf)

September 20, 2001
Securities and Exchange Commission Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change by the American Stock Exchange LLC; New York Stock Exchange, Inc.; Boston Stock Exchange, Inc.; Cincinnati Stock Exchange, Inc ; Chicago Stock Exchange, Inc.; Pacific Exchange Inc.; Philadelphia Stock Exchange, Inc.; and National Association of Securities Dealers, Inc. Regarding the Temporary Use by the American Stock Exchange LLC of the Facilities of the New York Stock Exchange, Inc. (pdf)

September 20, 2001
Securities and Exchange Commission Notice of Filing and Order Granting Accelerated Approval of a Proposed Rulemaking by the Chicago Board Options Exchange, Inc. Relating to Temporary Access of American Stock Exchange Members to Respond to Market Developments. (pdf)

September 20, 2001
Securities and Exchange Commission Notice of Filing and Order Granting Approval of a Proposed Rule Change Relating to a Temporary Processing Modification for Buy-In Executions. (pdf)


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