December 05, 2007
National Futures Association: Technical Changes to Reflect NASD Name Change (Effective December 17, 2007)
December 05, 2007
National Futures Association: Proposed Amendments to the Interpretive Notice to Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program (Effective January 15, 2008)
November 30, 2007
National Futures Association: Misuse of Trade Secrets and Proprietary Information - Proposed Amendments to the Interpretive Notice to Compliance Rule 2-4 (Effective December 11, 2007)
November 29, 2007
National Futures Association: Address Change - Proposed Amendments to Compliance Rule 3-3, Registration Rule 502 and Interpretive Notices to Registration Rule 402 (Effective December 10, 2007)
November 29, 2007
National Futures Association: Service on Disciplinary Hearing Panels - Proposed Amendments to Compliance Rule 3-7 (Effective December 10, 2007)
November 29, 2007
National Futures Association: Resubmission of Disclosure of Forex Dealer Members' Conflicts of Interest - Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Effective June 1, 2008)
November 29, 2007
National Futures Association: Supervision of Forex Promotional Material - Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Effective July 1, 2008)
November 20, 2007
National Futures Association: Reduction to NFA's Assessment Fees - Proposed Amendments to Bylaw 1301 (Effective January 1, 2008)
September 27, 2007
National Futures Association: Contract Market Representation on NFA's Board of Directors - Proposed Amendments to NFA's Articles of Incorporation and Bylaws (Effective October 9, 2007)
August 17, 2007
National Futures Association: Disclosure of Forex Dealer Members' Conflicts of Interest -- Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Resubmitted November 29, 2007; effective June 1, 2008)
August 17, 2007
National Futures Association: FDM Financial Requirements - Proposed Amendments to NFA Financial Requirements Section 11 and the Interpretive Notice Regarding Forex Transactions (Effective December 21, 2007)
August 17, 2007
National Futures Association: Soliciting, Introducing or Managing Forex Transactions or Accounts - Proposed Amendments to NFA Compliance Rule 2-39 (Effective September 21, 2007)
August 17, 2007
National Futures Association: Forex Dealer Members Internal Financial Controls - Proposed Adoption of NFA Financial Requirements Section 15 and Amendments to the Interpretive Notice Regarding Forex Transactions (Effective September 21, 2007)
August 17, 2007
National Futures Association: NFA Arbitration Proceedings -- Proposed Amendments to Section 9 of NFA's Code of Arbitration and Member Arbitration Rules (Effective October 15, 2007)
August 17, 2007
National Futures Association: Supervision of the Use of Electronic Trading Systems - Proposed Amendments to the Interpretive Notice to Compliance Rule 2-36(e) (Effective October 15, 2007)
August 17, 2007
National Futures Association: Misuse of Trade Secrets and Proprietary Information - Proposed Interpretive Notice to Compliance Rule 2-4 (Effective September 5, 2007)
May 22, 2007
National Futures Association: Recovering the Cost of Regulating Forex Dealer Members -- Proposed Amendments to NFA Bylaws 1301, 1302 and 1303 and the Interpretive Notice Regarding Forex Transactions (Effective October 1, 2007)
May 22, 2007
National Futures Association: Annual Registration Updates -- Proposed Amendments to NFA Registration Rules 203 and 204 (Effective August 1, 2007)
May 22, 2007
National Futures Association: Deadline for Filing Termination Notices -- Proposed Amendments to Registration Rules 203 and 214 (Effective January 1, 2008)
May 22, 2007
National Futures Association: Forex Promotional Material -- Proposed Amendments to NFA Compliance Rules 2-36 and 2-39 Regarding and the Interpretive Notice Regarding Forex Transactions (Effective October 25, 2007)
May 22, 2007
National Futures Association: Service By Facsimile -- Proposed Amendments to NFA Compliance Rule 3-3 and Registration Rule 502 (Effective June 8, 2007)
May 22, 2007
National Futures Association: Technical Amendments to NFA's Forex Requirements -- Proposed Amendments to NFA Compliance Rules 2-6, 2-39, and 2-40, Code of Arbitration Section 1, and the Interpretive Notice Regarding Forex Transactions (Effective June 5, 2007)
May 22, 2007
National Futures Association: NFA Arbitration Proceedings -- Proposed Amendments to Section 6 of NFA's Code of Arbitration and Sections 1 and 5 of NFA's Member Arbitration Rules (Effective June 5, 2007)
February 27, 2007
National Futures Association: Proposed Amendments to Compliance Rule 2-9 and the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective November 1, 2007)
February 26, 2007
National Futures Association: Proposed Amendments to NFA's Compliance Rule 2-10 (Effective July 1, 2007)
February 26, 2007
National Futures Association: Proposed Interpretive Notice to NFA Compliance Rule 2-4 Regarding Disclosure Guidelines for FCMs Offering Sweeps Accounts (Effective July 1, 2007)
February 23, 2007
National Futures Association: Proposed Amendments to Section 11 of NFA's Financial Requirements and Interpretive Notice Regarding Forex Transactions (Effective May 7, 2007)
February 23, 2007
National Futures Association: Proposed Amendments to Interpretive Notice Regarding Forex Transactions (Effective March 9, 2007)
February 23, 2007
National Futures Association: Proposed Adoption of NFA Financial Requirements Section 14 Regarding Assets Covering Liability to Retail Forex Customers and Amendments to the Interpretive Notice Regarding Forex Transactions (Effective July 1, 2007)
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