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Pending Rules and Interpretive Notices

  • Compliance Rules Part 2; Rules Governing the Business Conduct of Members Registered with the Commission  
  • Interpretive Notice: NFA Compliance Rule 2-30(b). Disclosure Statement for Security Futures Products  
  • Interpretive Notice: NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401. Proficiency Requirements for Security Futures Products  
  • Interpretive Notice: NFA Compliance Rule 2-4. Broker-Dealer Registration Requirements for Security Futures Products
  • Interpretive Notice: NFA Compliance Rule 2-4. The Best Execution Obligation of NFA Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934 Executing Orders in Security Futures Products 

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