Proposed Rule

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PROPOSED AMENDMENTS TO NFA'S COMPLIANCE RULE 3-3
(Additions are underscored and deletions are bracketed)

COMPLIANCE RULES

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Part 3-COMPLIANCE PROCEDURES

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RULE 3-3. SERVICE.

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(b) one copy of all pleadings, motions and briefs filed with NFA subsequent to the Complaint shall be served by the party upon all parties not in default (including the attorney of record in NFA's General Counsel's Office), unless otherwise provided. Service on a party's representative shall be service on a party. Service shall be made by personal service (effective upon delivery) [or], mail (effective upon deposit) or e-mail (effective upon receipt of a readable document): provided, however, that service by e-mail shall only be permitted on parties who have consented to service by e-mail. Proof of service of a document shall be made by attaching thereto an affidavit or certificate of service. To mail means to deposit in the U.S. Mail, first-class postage prepaid, or with an overnight delivery service, delivery fee prepaid; [and]

(c) documents filed with NFA under this Part must be delivered or mailed to:

National Futures Association
200 West Madison Street
Chicago, IL 60606-3447
Attn: Legal Docketing Department

or sent by e-mail to Legal Docketing Department at Docketing@NFA.Futures.Org.

Filing by delivery or mailing is effective upon receipt. Filing by e-mail is effective upon receipt of a readable document; and

(d) parties who file documents by e-mail thereby consent to accept service of pleadings in the proceeding by e-mail and waive any objection based on authenticity and genuineness to the use and admissibility into evidence in the proceeding of any document that they file by e-mail. The first document that a party files by e-mail must identify that party's e-mail address at which other parties may serve pleadings in the proceeding. Parties who provide an e-mail address must advise Legal Docketing and all other parties not in default of any change to the e-mail address.

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