|COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST
Notice of Intent to Deny Registration:
On December 19, 2012, NFA's President issued a Notice of Intent to Deny Registration to Mark Farnan. The Notice of Intent alleges that Farnan is disqualified from registration under Section 8a(2)(G) of the Commodity Exchange Act. To view the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Granting Conditional Registration:
On December 19, 2012, a Subcommittee of NFA's Membership Committee accepted Farnan's settlement offer in which he agreed to be registered as a floor broker subject to conditions for a period of two years. The Final Order becomes effective on January 18, 2013, To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center.