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Enforcement and Registration Actions

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ALL RULES
ARB10(g) - FAILURE TO PAY AWARD
ARB10(g)(1)(i) - FAILURE TO PAY AWARD
ARB10(g)(1)(ii) - FAILURE TO COMPLY WITH A SETTLEMENT AGREEMENT
BLAW1101 - MEMBS MAY NOT DO BUS. W/ NON-MEMBS
BLAW1301(b) - FAILURE TO PAY NFA ASSESSMENT FEE
BLAW1301(b)(i) - FCMS MUST PAY NFA ASSESSMENT FEE
BLAW1302 - FAILURE TO PAY ASSESSMENT FEES
BLAW1303 - FAILURE TO PAY DUES
BLAW301(a)(ii) - MEMBERSHIP INELIGIBILITIES
BLAW301(b) - REGISTRATION OF APS AS ASSOCIATES
BLAW301(c) - MEMBERSHIP DISQUALIFICATIONS
BLAW301(e) - EXCEPTIONS FROM MEMB INELIG/DISQUAL
BLAW301(h)(ii) - WDL OR FAIL TO RENEW REG
BLAW301(i) - MUST MAINTAIN CURRENT ADDRESS
BLAW301(j) - ELIGIBILITY TO CONDUCT FOREX ACTIVITIES
BLAW305 Sch A @I(a) - REGISTRATION REQUIREMENT
BLAW305 Sch A @I(b) - REGISTRATION PROCEDURES
BLAW305 Sch A @I(c) - GRANT, DENY, SUSPEND, REVOKE
C.R. 2-2(a) - DEFICIENT SALES SOLICITATIONS
C.R. 2-2(a) - DEFICIENT SALES PRACTICES
C.R. 2-2(f) - INACCURATE INFORMATION TO NFA/AGENTS
C.R. 2-29(a)(1) - DEFICIENT SALES SOLICITATIONS
C.R. 2-29(b)(1) - USE OF DEFICIENT PROMO MATERIAL
C.R. 2-29(b)(2) - USE OF DEFICIENT PROMO MATERIAL
C.R. 2-36(b)(1) - USING ASYMMETRICAL SLIPPAGE SETTINGS
C.R. 2-36(c) - USING ASYMMETRICAL SLIPPAGE SETTINGS
C.R. 2-36(e) - FOREX DEALER MEMBERS SUPERVISION
C.R. 2-5 - FAILURE TO COMPLY WITH ORDER OF BCC OR HEARING PANEL
C.R. 2.2 - DEFICIENT SALES SOLICITATIONS
C.R.2-10 - RECORDKEEPING FCMS/IBS
C.R.2-11 - CARRYING CUST ACCTS BY NON MEMBER
C.R.2-12 - REQUIREMENTS FOR OMNIBUS ACCTS
C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS
C.R.2-15 - WRITTEN OPTION PROCEDURES
C.R.2-15(a) - OPTION PROCEDS/ADEQ SUPERVISION
C.R.2-15(b) - OPTION PROCEDS/ALLOC OF EXER NOTICE
C.R.2-15(c) - OPTION PROCED/DEEP OUT-OF-MONEY OPT
C.R.2-16 - FRAUDULENT OPTIONS COMMUNICATIONS
C.R.2-17 - RECEIPT OF OPTION PREMIUM/TIME REQ.
C.R.2-18(a) - RETENTION OF OPTION CUST. COMPLAINT
C.R.2-18(b) - RECORDS RE: OPTIONS COMPLAINTS
C.R.2-18(c) - PROVIDE OPTION COMPLAINTS TO NFA
C.R.2-19(a) - NOTICE TO NFA OF ACTIONS CFTC/SRO
C.R.2-19(b) - COMPLIANCE W/ CFTC REG 33.7 REQD
C.R.2-19(c) - SUBMIT OPTION PROMO TO NFA
C.R.2-2 - FRAUD AND RELATED MATTERS
C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS
C.R.2-2(b) - BUCKETING
C.R.2-2(c) - FALSE REPORTS MADE TO A CUSTOMER
C.R.2-2(d) - FALSE INFO AFFECTING COMMDITY PRICE
C.R.2-2(e) - MANIPULATION OF FUTURES PRICES
C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS
C.R.2-2(g) - TRADING FOR PERSON SO PROHIBITED
C.R.2-2(h) - EMBEZZLE/STEAL CUSTOMER PROPERTY
C.R.2-20(a) - DISCRET. OPTIONS/EXPLAIN RISKS
C.R.2-20(b) - DISCRET. OPT/WRITTEN AUTHORIZATION
C.R.2-20(c) - DISCRET. OPT/ID AND APPRVL
C.R.2-20(d) - DISCRET OPT/REVIEW OF
C.R.2-21 - SUBMISSIONS TO NFA RE OPTIONS
C.R.2-21(a) - SUBMIT OPTION AGREEMENT TO NFA
C.R.2-21(b) - SUBMIT OPTION DISCLOSURE TO NFA
C.R.2-21(c) - SUBMIT OPTION PROMO MATERIAL TO NFA
C.R.2-21(d) - SUBMIT OPTION PROCEDURES TO NFA
C.R.2-22 - PROHIP REPS RE:NFA SPONSOR/APPRVL
C.R.2-23 - FCM RESPONIBILITY FOR GUAR. IBS
C.R.2-24(a) - APS OF MEMBS MUST BE PROFICIENT
C.R.2-24(b) - LMTS ON ACTIV. OF APS W/ RESTRICT.
C.R.2-25 - FCM RECDKEEPING/DLR OPTIONS TRANS
C.R.2-26 - VIOL. CFTC 1.33/1.55/1.56 BY FCM/IB
C.R.2-27 - FCM TRANSFER OF CUST ACCTS
C.R.2-28 - REQMTS RE: LINKED FOREIGN MKT TRANS
C.R.2-29 - DECEPTIVE, MISLEADING COMMUNICATION
C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB.
C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED
C.R.2-29(a)(3) - REPS THAT FUTURES APPROPRIATE ALL
C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER.
C.R.2-29(b)(2) - MISSTATEMT/OMISSION OF FACT PROMP
C.R.2-29(b)(3) - BALANCED DISCUSSION RE PROFIT/RISK
C.R.2-29(b)(4) - USE OF HYPOTHETICAL RESULTS
C.R.2-29(b)(5) - REF. TO ACTUAL PAST TRADING PROFITS
C.R.2-29(b)(6) - ACTUAL ACCTS/DISCL OF NUMERICAL INF
C.R.2-29(c) - STATEMENT OF OPINION
C.R.2-29(c)(1) - HYPOTHETICAL PERFORMANCE RESULTS DISCLAIMER
C.R.2-29(c)(3) - PAST PERFORMANCE RESULTS OF ACTUAL ACCTS
C.R.2-29(c)(5) - PROMOTIONAL MATERIAL CONTAINING HYPOTHETICAL RESULTS
C.R.2-29(d) - WRITTEN PROCEDS TO SUPERVISE 2-29
C.R.2-29(e) - RECDKEEPING PROMO MATERIALS
C.R.2-29(f) - FILING PROMO MATERIALS W/ NFA
C.R.2-29(g) - FAILED TO SUBMIT PROMOTIONAL MATERIAL FOR REVIEW
C.R.2-29(h) - RADIO AND TELEVISION ADVERTISEMENTS
C.R.2-29(j) - SFP PROMOTIONAL MATERIAL
C.R.2-3 - SHARING CUSTOMER ACCT. PROFIT/LOSS
C.R.2-30 - FAIL TO OBTAIN CUSTOMER INFO
C.R.2-30(a) - MUST OBTAIN CUST INFO/RISK DISCL
C.R.2-30(b) - WHEN CUST INFO/RISK DISCL NECESSARY
C.R.2-30(c) - TYPE OF CUST INFO TO OBTAIN
C.R.2-30(d) - TYPE OF RISK DISCLOSURE REQD
C.R.2-30(e) - WHO MUST COMPLY W/ 2-30
C.R.2-30(g) - RECDKEEPING REQUIREMNTS FOR 2-30(C)
C.R.2-30(h) - PROCEDS TO SUPERVISE COMP W/2-30
C.R.2-31 - FOREIGN FUTURES AND OPTIONS TRANSAC
C.R.2-34(b) - - CTA PERFORMANCE REPORTING/DISCLOSURES – WRITTEN CONFIRMATION FOR PARTIALLY-FUNDED ACCOUNTS
C.R.2-36 - FOREX ANTI-FRAUD RULE
C.R.2-36(a) - FOREX DEALER MEMBERS NOT ENGAGE IN PROHIBITED FOREX TRANSACTIONS
C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS
C.R.2-36(b)(2) - FRAUD AND RELATED MATTERS
C.R.2-36(b)(4) - ENGAGE IN ACTS REGARDING PRICE OF ANY FOREIGN CURRENCY OR FOREX TRANSACTION
C.R.2-36(b)(5) - FDMs NOT SUBMIT FALSE OR MISLEADING INFORMATION TO NFA
C.R.2-36(c) - FOREX DEALER MEMBERS OBSERVE HIGH STDS OF COMMERCIAL HONOR
C.R.2-36(d) - FOREX DEALER MEMBERS DOING BUSINESS WITH NON-MEMBERS
C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES
C.R.2-36(g) - FILING PROMOTIONAL MATERIALS WITH NFA
C.R.2-36(h) - HYPOTHETICAL RESULTS
C.R.2-36(i) - FOREX TRANSACTIONS – HYPOTHETICAL RESULTS
C.R.2-37(b) - SFP WRITTEN COMPLIANCE PROCED. RE SECURITIES LAWS
C.R.2-38 - BUSINESS CONTINUITY AND DISASTER RECOVERY PLAN
C.R.2-39 - SOLICITING, INTRODUCING, OR MANAGING OFF-EXCHANGE RETAIL FOREX TRANSACTIONS OR ACCOUNTS
C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR
C.R.2-40 - BULK ASSIGNMENT OR LIQUIDATION OF FOREX POSITIONS; CESSATION OF CUSTOMER BUSINESS
C.R.2-41(b) - FOREX TRADING ADVISORS-FILE DISCLOSURE DOCUMENT WITH NFA AND PROVIDE TO CLIENTS
C.R.2-43(a) - FOREX PRICE ADJUSTMENTS
C.R.2-45 - PROHIBITION OF LOANS BY COMMODITY POOLS TO CPOS AND AFFILIATED ENTITIES
C.R.2-46 - CPO QUARTERLY REPORTING REQUIREMENTS
C.R.2-48 - FDM DAILY TRADE DATA REPORTS
C.R.2-5 - FAILURE TO COOPERATE W/ NFA
C.R.2-6 - CONDUCTING BUSINESS W/ SUSP. MEMBER
C.R.2-8 - FAILURE TO MAINTAIN PROCEDURES
C.R.2-8(a) - GRANT OF DISCRETION MUST BE WRITTEN
C.R.2-8(b) - PROCED. FOR REVIEW OF DISCRET. TRDS
C.R.2-8(b)(2) - DISCRET. TRADES-WRITTEN RECORD
C.R.2-8(c) - SUPERVISION OF DISCRETIONARY ACCTS.
C.R.2-8(d) - MIN. EXPERIENCE TO EXERCISE DISCRET
C.R.2-8(e) - RECDKEEPING FOR 3RD PARTY ACCTS
C.R.2-9 - SUPERVISION OF EMPLOYEES
C.R.2-9(a) - SUPERVISION OF EMPLOYEES
C.R.2-9(b) - ENHANCED SUPERVISORY REQUIREMENTS
C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM
CEA 8a(2)(A) - REG. PREVIOUSLY SUSPEND. OR REVOKED
CEA 8a(2)(B) - REFUSED REGISTRATION
CEA 8a(2)(C) - ENJOINED
CEA 8a(2)(D) - CERTAIN FELONY CONVICTIONS IN PAST 10 YEARS
CEA 8a(2)(D)(i) - INV. SALE OF COMM. FOR FUT. DEC.
CEA 8a(2)(D)(ii) - ARISE OUT OF CONDUCT OF REG PERSON
CEA 8a(2)(D)(iii) - EMBEZZLEMENT, THEFT, FRAUD, EXTORTION, ETC
CEA 8a(2)(D)(iv) - VIOLATION OF 18 U.S.C.
CEA 8a(2)(E) - VIOLATED SECURITIES ACTS IN 10 YEAR
CEA 8a(2)(F) - SUBJECT TO COMMISSION ORDER
CEA 8a(2)(G) - WILLFUL OMISSION OF INFO ON FORM
CEA 8a(2)(H) - DISQUALIFICATION OF PRINCIPAL
CEA 8a(3) - GROUNDS FOR REFUSAL TO REGISTER
CEA 8a(3)(A) - VIOLATED PROVISION OF CEA
CEA 8a(3)(B) - FOUND BY COURT TO VIOLATE SECURITIES ACTS
CEA 8a(3)(C) - FAILED TO SUPERVISE
CEA 8a(3)(D) - PLED GUILTY TO OR CONVICTED OF FELONY NOT IN SEC. 8A(2)(D) OF CEA
CEA 8a(3)(E) - MISDEMEANOR CONVICTION
CEA 8a(3)(E)(i) - INV. K SALE OF COMMODITY
CEA 8a(3)(E)(ii) - ARISE OUT OF COND. OF REG. PERSON
CEA 8a(3)(E)(iii) - EMBEZ., THEFT, FRAUD, EXTORTION,
CEA 8a(3)(E)(iv) - MISDEMEANOR/VIOLATION USC
CEA 8a(3)(F) - DEBARMENT FROM CONTRACT W/U.S.
CEA 8a(3)(G) - WILLFUL OMISSION OF INFO ON FORM
CEA 8a(3)(H) - PLED NOLO CONTENDERE
CEA 8a(3)(J) - SUBJECT TO SRO ORDER RE: MEMBERSHIP
CEA 8a(3)(K) - FOUND VIOLATED STATUTE/RULE RE THEFT, FRAUD, ETC.
CEA 8a(3)(L) - ASSOCIATED PERSON SUBJ TO CEA SEC. 8A(2) DISQUAL.
CEA 8a(3)(M) - OTHER GOOD CAUSE
CEA 8a(3)(N) - PRIN. OF PERSON HAS/COULD BE REFUSED REGISTRATION
F.R.@ C1-(b)(vii) - PREPAYMENT-PERMISSIVE AND SPECIAL
F.R.SEC11(a)NEW - FDM MAINTAIN ADJUSTED NET CAPITAL
F.R.SEC11(b)NEW - FDM TAKE CONCENTRATION CHARGE-UNAFFILIATED
F.R.SEC11(c)NEW - FDM TAKE CONCENTRATION CHARGE-AFFILIATES
F.R.SEC11NEW - FDM FINANCIAL REQUIREMENTS
F.R.SEC12NEW - SECURITY DEPOSITS FOR FOREX TRANSACTIONS WITH FOREX DEALER MEMBERS
F.R.SEC13NEW - FDM WEEKLY REPORTS
F.R.SEC1NEW - FCM FINANCIAL REQUIREMENTS
F.R.SEC2NEW - ELIGIBILITY TO GUARANTEE IB
F.R.SEC3NEW - RELIEF REQUESTS
F.R.SEC4NEW - VIOLATING CFTC REGULATIONS
F.R.SEC5NEW - INTRODUCING BROKER FINANCIAL REQUIREMENTS
F.R.SEC6NEW - LEVERAGE TRANSACTION MERCHANT REPORT
F.R.SEC7NEW - PERFORMANCE MARGIN
F.R.SEC8NEW - ADDITIONAL INFORMATION REQUESTS
F.R.SEC9NEW - NOTIFICATION OF REPORTABLE POSITIONS
F.R.Section 1 - ADJUSTED NET CAPITAL REQ. FOR FCMS
F.R.Section 10 - IB REPORTING
F.R.Section 11 - LTM REPORTING
F.R.Section 15 - FOREX DEALER MEMBER INTERNAL FINANCIAL CONTROLS
F.R.Section 3(a) - EQUITY CAPITAL REQUIREMENTS FOR FCM
F.R.Section 4 - FCM/IB MUST COMPLY W/ FIN REQMT
F.R.Section 5 - LIQUIDATION TRAD. IF REQMTS NOT MET
F.R.Section 6 - CFTC REG 1.12 INC. SCH. D FILING
F.R.Section 8 - VIOL CFTC 1.20 -1.30
F.R.Section 9 - IB ADJ NET CAP F.R.
F.R.Section A8-a - PERFORMANCE MARGIN
F.R.Section B2-a - EQUITY WITHDRAWAL
F.R.Section C2-g - FILING WITH DSRO
F.R.Section D1 - FCMS MUST FILE CERTIFIED REPORT
F.R.Section D1-a - CERT REPT 90 DAYS AFTER FYE
F.R.Section D2 - FCMS INTERIM FINANCIAL REPORTS
F.R.Section D2-a - FILE INTERIM RPTS W/IN 45 DAYS
F.R.Section D3-a - FCMS MUST FILE ADDTNL RPTS IF REQ.
F.R.Section D3-b - REPORTS RE OPEN POSITIONS
F.R.Section D3-d - NO NOTICE/REPORTABLE POSITIONS
F.R.Section D4-a(v) - AUDITED FIN RPTS MUST BE ATTESTED
F.R.Section D4-b - CERT. AUDIT RPTS RETAINED BY FCM
R.R.204(a)(2) - FAILURE TO FILE FORM 8-R FOR PRIN
R.R.205 - FAILURE TO REPORT PRINCIPALS
R.R.206 - REGISTRATION OF APs OF FCMs, IBs, CPOs, CTAs AND LTMs
R.R.208 - CHANGES REQUIRING NEW REGISTRATION
R.R.210(a) - CORRECT DEFICIENCIES IN FORM 7-R
R.R.210(b) - FAILURE TO LIST PRINCIPAL
R.R.210(c) - NOTIFY NFA AFTER FILING 8-R
R.R.210(c)(1) - FAILURE TO BECOME ASS. WITH SPONSOR
R.R.210(c)(2) - TERMINATION OF AP
R.R.214 - TERMINATION OF AP