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Notice I-11-12

July 15, 2011

Effective Date of an Amendment to Code of Arbitration Section 10(g) and Member Arbitration Rules Section 10(g)-Failure to Comply

An amendment to NFA's Code of Arbitration (Code) and Member Arbitration Rules (Rules) is effective immediately for all arbitration cases pending on or after July 7, 2011. The amendment provides that the President of NFA may, on 30 days written notice, summarily bar from Membership or Associate Membership a former Member or Associate when that former Member, or employee thereof, fails to comply with an arbitration award or a settlement agreement, unless the former Member or Associate has a pending request to modify the award or has a pending application to vacate, modify or correct the award in a court of competent jurisdiction and has filed a bond in accordance with Section 10(g)(1)(i)(A) and (B) of the Code and Rules.

More information on NFA's amendment to Sections 10(g) of the Code and Rules can be found in NFA's March 3, 2011 Submission Letter to the CFTC. Questions concerning this amendment should be directed to Christine Roche, Manager, Arbitration Department ( or 312-781-1562).

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