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CFTC Rule Submissions

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December 06, 2005
National Futures Association: Proposed Amendments to Compliance Rule 2-10 Regarding Recordkeeping (Effective April 1, 2006)

November 29, 2005
National Futures Association: Proposed Amendments to NFA Compliance Rule 2-7 and the Interpretive Notice Regarding Registration Requirements; Branch Offices (Effective December 9, 2005)

November 29, 2005
National Futures Association: Proposed Amendments to Bylaw 1301 Regarding Forex Dealer Member Dues (Effective April 30, 2006)

November 29, 2005
National Futures Association: Resubmission of Proposed Amendments to Financial Requirements Section 1 (to Impose a Capital Requirement on FCMs With Retail Forex Affiliates) and the Interpretive Notice Regarding Forex Transactions with Forex Dealer Members (Resubmitted January 26, 2006; effective July 31, 2006)

November 18, 2005
National Futures Association: Proposed Amendments to NFA Registration Rule 401 (Effective December 31, 2005)

September 19, 2005
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective February 15, 2006)

September 16, 2005
National Futures Association: Proposed Amendments to Financial Requirements Section 11 and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective July 31, 2006)

August 22, 2005
National Futures Association: Proposed Adoption of Compliance Rule 2-39 and Proposed Amendments to Compliance Rule 2-36, Financial Requirements Sections 11 and 12, and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective September 15, 2005 except for Compliance Rule 2-36, Financial Requirements Section 11, and the related portions of the Interpretive Notice, which are effective November 30, 2005.)

June 08, 2005
National Futures Association: Resubmission of Proposed Amendments and Interpretive Notice to NFA Compliance Rule 2-6, Conducting Commodity Futures Business With An Expelled or Suspended Member or Associate (Effective July 20, 2005)

June 03, 2005
National Futures Association: Proposed Amendments to NFA Bylaw 306 and Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective June 13, 2005)

June 03, 2005
National Futures Association: Proposed Amendments to NFA's Code of Arbitration and Member Arbitration Rules (Effective June 13, 2005)

March 07, 2005
National Futures Association: Proposed Adoption of Compliance Rule 2-39 and Proposed Amendments to Compliance Rule 2-36, Financial Requirements Sections 1, 11 and 12 and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Resubmitted August 22, 2005; effective September 15, 2005 except for Compliance Rule 2-36, Financial Requirements Section 11, and the related portions of the Interpretive Notice which are effective November 30, 2005)

March 01, 2005
National Futures Association: Proposed Amendments to Section 10(g) of NFA's Code of Arbitration and Member Arbitration Rules (Effective March 10, 2005)

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