Security Futures Issues for Fund Operators and Advisors

Letter to Members regarding Notice-Registration as a Broker-Dealer

Regulatory Reminder to Notice-Registered Broker-Dealers

NFA's No-Action Request for Physical Delivery for Customers Whose Securities Futures Accounts are Carried by Notice-Registered Broker-Dealers

SEC Response to No-Action Request

Member Guide

Risk Disclosure Statement

CR 2-8: Discretionary Accounts

CR 2-29: Communications with the Public and Promotional Material

CR 2-30: Customer Information and Risk Disclosure

CR 2-37: Security Futures Products

NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934

NFA Compliance Rule 2-29: Use of Past or Projected Performance; Disclosing Conflicts of Interest for Security Futures Products

NFA Compliance Rule 2-4: Broker-Dealer Registration Requirements for Security Futures Products

NFA Compliance Rule 2-37: Fair Commissions

NFA Compliance Rule 2-4: The Best Execution Obligation of NFA Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934

NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for Security Futures Products

NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts

Notice Form BD-N

Proficiency Training for Non-Registrants

Content Outline

FAQs

NASD Security Futures Products Web Page

SEC Interpretive Guidance

SEC Final Rules

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