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CFTC Rule Submissions

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December 11, 2009
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding SFP Proficiency Training (Effective December 28, 2009)

December 08, 2009
National Futures Association: On-line Social Networking Groups - Proposed Amendments to NFA's Compliance Rule 2-29(h) and Adoption of Interpretive Notice (Adoption of the Interpretive Notice effective on December 24, 2009. Amendments to Compliance Rule 2-29(h) effective February 1, 2010)

December 03, 2009
National Futures Association: Forex Dealer Member Internal Financial Controls - Proposed Amendments to NFA's Financial Requirements Section 15 (Effective December 17, 2009)

December 03, 2009
National Futures Association: Forex Dealer Members Dues - Proposed Amendments to Interpretive Notice regarding Forex Transactions (Effective December 17, 2009)

November 04, 2009
National Futures Association: Increase in Public Director Representation on NFA's Board of Directors and NFA's Executive Committee - Proposed Amendments to NFA's Articles of Incorporation (Effective November 16, 2009)

August 26, 2009
National Futures Association: Prohibition of Loans by Pools to Commodity Pool Operators and Related Parties - Proposed Adoption of Compliance Rule 2-45 and Interpretive Notice (Effective September 11, 2009)

August 26, 2009
National Futures Association: Restructuring of NFA's Membership Committee - Proposed Amendments to NFA Bylaws 301 and 701 and Registration Rule 501 (Effective November 18, 2009)

August 26, 2009
National Futures Association: Increasing the Number of Summary and One-Arbitrator NFA Arbitration Proceedings - Proposed Amendments to Sections 4, 6, 8, 9 and 11 of NFA’s Code of Arbitration and Sections 3, 9 and 11 of NFA's Member Arbitration Rules (Effective October 1, 2009)

August 25, 2009
National Futures Association: Forex Dealer Member Price Adjustments - Technical Amendments to NFA Compliance Rule 2-43(a) (Effective September 11, 2009)

August 25, 2009
National Futures Association: CPO Quarterly Reporting Requirements - Proposed Adoption of Compliance Rule 2-46 (Effective March 31, 2010)

August 25, 2009
National Futures Association: Forex Dealer Members Dues - Proposed Amendments to NFA Bylaw 1301 (Effective September 11, 2009)

June 09, 2009
National Futures Association: Eligibility for Membership: Proposed Amendments to NFA Bylaw 301(a)(iii) (Effective June 22, 2009)

May 27, 2009
National Futures Association: Prohibition of Loans by Pools to Commodity Pool Operators and Related Parties - Proposed Adoption of Compliance Rule 2-45 (Resubmitted August, 26, 2009; effective September 11, 2009)

May 07, 2009
National Futures Association: Futures Commission Merchant Representation on NFA's Board of Directors and NFA Executive Committee Quorum Requirements - Proposed Amendments to NFA's Articles of Incorporation (Effective May 18, 2009)

February 23, 2009
National Futures Association: Floor Broker and Floor Trader Disqualification Fee – Proposed Amendments to NFA Registration Rule 504(b)(3) (Effective March 6, 2009)

February 23, 2009
National Futures Association: Forex Security Deposits - Proposed Amendments to NFA Financial Requirements Section 12 and Interpretive Notice Regarding Forex Transactions (Effective November 30, 2009)

February 23, 2009
National Futures Association: Alternative Net Capital Requirement for Forex Dealer Members - Proposed Amendments to NFA Financial Requirements Section 11 and Interpretive Notice Regarding Forex Transactions (Effective November 30, 2009)

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