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CFTC Rule Submissions

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October 13, 2011
National Futures Association: FCM and IB Anti-Money Laundering Program - Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9 (Effective January 3, 2012)

September 22, 2011
National Futures Association: Retail Forex Transactions - Proposed Amendments to NFA Financial Requirements Section 13 and the Interpretive Notice Entitled Forex Transactions (Effective January 2, 2012) and NFA Compliance Rule 2-40 and the Related Interpretive Notice Entitled Procedures for the Assignment or Liquidation of Forex Positions; Cessation of Customer Business (Effective November 15, 2011)

September 15, 2011
National Futures Association: Supervision of the Use of Electronic Trading Systems - Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-36(e) (Effective November 15, 2011)

September 02, 2011
National Futures Association: Allocation of Bunched Retail Forex Orders for Multiple Accounts - Proposed Adoption of the Interpretive Notice to NFA Compliance Rule 2-10 (Effective June 18, 2012)

September 02, 2011
National Futures Association: Proposed Amendments to NFA's Bylaws 1301 and 1302 Regarding Dues and Assessments and the Interpretive Notice Entitled "Forex Transactions" (Effective February 1, 2012)

September 02, 2011
National Futures Association: Forex Price Changes - Proposed Adoption of the Interpretive Notice to NFA Compliance Rule 2-36 (March 26, 2012)

September 02, 2011
National Futures Association: Leverage Transactions Merchant Capital Requirements - Proposed Amendments to NFA Financial Requirements Section 6 (Effective October 3, 2011)

March 03, 2011
National Futures Association: Failure to Pay an Arbitration Award or Settlement - Proposed Amendments to NFA's Code of Arbitration Section 10 and Member Arbitration Rules Section 10 (Effective July 7, 2011)

March 03, 2011
National Futures Association: Forex Requirements - Proposed Amendments to Bylaws 301 and 306; Compliance Rules 2-10, 2-36 and 2-39; Code of Arbitration Section 1 and the Interpretive Notices Entitled Forex Transactions; NFA Compliance Rule 2-40: Procedures for the Bulk Assignment or Liquidation of Forex Positions: Cessation of Customer Business; and Compliance Rule 2-36(e): Supervision of the Use of Electronic Trading Systems (Effective October 1, 2011)

February 24, 2011
National Futures Association: Self-Audit Questionnaire - Proposed Amendments to the Interpretive Notice Entitled Compliance Rule 2-9: Self-Audit Questionnaires (Effective April 8, 2011)

February 24, 2011
National Futures Association: Exchange of Documents in NFA Arbitration Proceedings - Proposed Amendments to the Interpretive Notice Entitled Standard List of Documents to be Exchanged Under Section 8 of NFA's Code of Arbitration (Effective April 15, 2011)

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