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October 23, 2002
Notice I-02-21: Risk Disclosure Statement for Security Futures Products (Updated on October 23 at 1:00 p.m. CST)
NFA Compliance Rule 2-30(b) currently requires Members and Associates who are not members of NASD to provide a risk disclosure statement for security futures products to a customer at or before the time the Member approves the account to trade security futures products. NFA Compliance Rule 2-30(j)(1) requires these Members and Associates to make a record of when the disclosure statement was provided, and Compliance Rule 2-29(j)(12) prohibits them from including anything other than basic information in promotional material unless the promotional material is preceded or accompanied by the disclosure statement. The disclosure statement for security futures products referred to in these Rules is a uniform statement that has been jointly developed by NFA, NASD and a number of securities and futures exchanges.
NFA and NASD have jointly published the disclosure statement in a 64-page brochure format. NFA Members can download the document from the NFA Web site (www.nfa.futures.org) or purchase multiple copies in a published brochure format from NFA at a cost of 80¢ per brochure. The brochure measures 4 x 9 inches and fits in a standard-size (#10) business envelope. The electronic version prints out on a standard 8½ x 11 sheet of paper. NFA Members who are not members of NASD may provide the document to customers electronically as long as they maintain a record of when the document was provided to the customer. NASD members should contact NASD regarding acceptable delivery methods.
Members can order copies of the SFP Risk Disclosure Statement by contacting NFA's Information Center by telephone (312-781-1410), fax (312-781-1467) or e-mail (firstname.lastname@example.org). NFA accepts payment by check made payable to National Futures Association.
Members seeking additional information regarding the SFP Risk Disclosure Statement should contact NFA's Information Center at 312-781-1410.