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CFTC Rule Submissions

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December 06, 2010
National Futures Association: FDM Financial Requirements - Proposed Amendments to NFA's Financial Requirements Sections 11(b) and 14(c) and (d) and the Interpretive Notice Regarding Forex Transactions (REVISED) (February 1, 2011)

November 22, 2010
National Futures Association: Increase to FDM Assessment Fee - Proposed Amendments to NFA Bylaw 1301(e) (Effective January 1, 2011)

November 22, 2010
National Futures Association: Increase to FCM Assessment Fee - Proposed Amendments to NFA Bylaw 1301(b) (Effective January 1, 2011)

October 06, 2010
National Futures Association: Proposed Amendments to the Interpretive Notice Entitled: NFA Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective January 3, 2011)

September 28, 2010
National Futures Association: Proposed Amendments to NFA Bylaws 306 and 1301, NFA Compliance Rules 1-1, 2-13, 2-23, 2-24, 2-36, 2-38, 2-39, 2-41, 2-42 and 2-44, Code of Arbitration Sections 1, 2, 3, and 6, Member Arbitration Rules Section 6, Financial Requirements Sections 1, 3, 4, 8, 10, 11 and 12, and the Interpretive Notices entitled NFA Financial Requirements: The Electronic Filing of Financial Reports; Forex Transactions; and Bulk Assignments and Transfers (Effective October 18, 2010)

September 14, 2010
National Futures Association: Legal Actions Relating to Pending NFA Arbitration Actions - Proposed Amendments to NFA's Code of Arbitration (Effective October 7, 2010)

September 10, 2010
National Futures Association: Proposed Amendments to NFA's Registration Rules 206, 501 and 504 (Effective November 7, 2010)

September 07, 2010
National Futures Association: Forex Registration Requirements - Proposed Amendments to NFA's Bylaw 301; Registration Rules and the Interpretive Notice Regarding Registration Requirements; Branch Offices (Effective September 30, 2010)

September 07, 2010
National Futures Association: Forex Dealer Member Trade Reporting System - Proposed Adoption of NFA Compliance Rule 2-48 (Effective February 4, 2011)

August 30, 2010
National Futures Association: Cleared OTC Derivatives - Proposed Amendments to NFA Financial Requirements Section 4 (Effective October 4, 2010)

August 30, 2010
National Futures Association: Assessment of Trades on Foreign Exchanges - Proposed Amendments to NFA Bylaw 1301 (Effective November 1, 2010)

July 08, 2010
National Futures Association: Proposed Amendments to the Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts" (Effective October 7, 2010)

June 01, 2010
National Futures Association: Eligibility to Guarantee IBs - Proposed Technical Amendments to NFA's Financial Requirements Section 2 (Effective June 14, 2010)

May 25, 2010
National Futures Association: Payment of Dues and Assessments - Proposed Amendments to NFA's Bylaw 1302 (Effective July 1, 2010)

March 08, 2010
National Futures Association: Customer Information and Risk Disclosure - Proposed Amendments to NFA's Compliance Rule 2-30 and the Related Interpretive Notice (Effective January 3, 2011)

February 22, 2010
National Futures Association: Forex Dealer Member Financial Requirements - Proposed Amendments to NFA's Financial Requirements Sections 11(b) and (c) and the Interpretive Notice Regarding Forex Transactions (Effective October 1, 2010)

February 22, 2010
National Futures Association: Minimum Net Capital Requirements for Futures Commission Merchants and Introducing Brokers - Proposed Amendments to NFA's Financial Requirements Section 1 (Effective March 31, 2010)

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