| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Deny Registration:
On June 25, 2008, NFA's President issued a Notice of Intent to Deny Registration to Nicholas R. Swee alleging that Swee is disqualified from registration under Section 8a(3)(D) of the Commodity Exchange Act. To view the Notice of Intent, go to case documents. To obtain a copy, contact NFA's Information Center.
Response to Notice of Intent:
On July 14, 2008, Swee filed a Response to the Notice of Intent. In his Response, Swee admits the disqualifying conduct but indicates that he can submit evidence in support his request for registration. To obtain a copy of the Response, contact NFA's Information Center.
Final Order Granting Conditional Registration:
On January 28, 2009, a Subcommittee of NFA's Membership Committee accepted Swee's settlement offer and issued a Final Order Granting Conditional Registration. This Final Order becomes efffective on February 27, 2009. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center. |