| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST
Notice of Intent to Deny Registration:
On July 20, 2009, NFA's President issued a Notice of Intent to Deny Registration to Burt Martin Arnold Securities, Inc. The Notice of Intent alleges that BMAS is disqualified from registration under Section 8a(3)(N) 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 August 10, 2009, BMAS filed its Response to the Notice of Intent in which the firm denies that it is disqualified from registration. To view the Response, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Conditioning Registration:
On December 21, 2009, a Subcommittee of NFA's Membership Committee issued a Final Order Conditioning Registration to BMAS after a hearing was held. The Final Order becomes effective on January 20, 2010. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center. |