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PROPOSED AMENDMENTS
(additions are underscored and deletions are stricken through)

COMPLIANCE RULES

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PART 3 - COMPLIANCE PROCEDURES

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RULE 3-3. SERVICE

For purposes of any proceeding brought under Part 3 of these Rules:

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(b) one copy of all pleadings, motions and briefs filed with NFA subsequent to the Complaint shall be served by the party upon all parties not in default (including the attorney of record in NFA's General Counsel's Office), unless otherwise provided. Service on a party's representative shall be service on the party. Service shall be made either by personal service (effective upon delivery), mail (effective upon deposit), facsimile (effective upon receipt of a readable document), or e-mail (effective upon receipt of a readable document): provided, however, that service by facsimile or e-mail shall only be permitted on Parties who have consented to service by that means e-mail. Proof of service of a document shall be made by attaching thereto an affidavit or certificate of service. To mail means to deposit in the U.S. Mail, first-class postage prepaid, or with an overnight delivery service, delivery fee prepaid; and

(c) documents filed with NFA under this Part must be delivered or mailed to:

National Futures Association
200 West Madison Street
Chicago, IL 60606-3447
Attn: Legal Docketing Department

or sent by facsimile to the attention of the Legal Docketing Department at a facsimile number provided in the original complaint or by e-mail to Legal Docketing Department at Docketing@nfa.futures.org. Filing by delivery or mailing is effective upon receipt. Filing by e-mail electronic means is effective upon receipt of a readable document; and

(d) parties who file documents by electronic means e-mail thereby consent to accept service of pleadings in the proceedings by the same method e-mail and waive any objection based on authenticity and genuineness to the use and admissibility into evidence in the proceeding of any document that they file by electronic means e-mail. The first document that a party files by electronic means e-mail must identify that party's facsimile number or email address at which other parties may serve pleadings in the proceeding. Parties who provide a facsimile number or an e-mail address must advise Legal-Docketing and all other parties not in default of any change to the facsimile number or e-mail address.

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REGISTRATION RULES

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PART 500. PROCEEDINGS TO DENY, CONDITION, SUSPEND AND REVOKE REGISTRATION

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RULE 502. GENERAL PROVISIONS

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(d) Documents may also be served by facsimile to the attention of the Legal Docketing Department or by email to at Docketing@nfa.futures.org. Parties who file documents by e-mail electronic means thereby consent to accept service of pleadings in the proceedings by e-mail the same method and waive any objection based on authenticity and genuineness to the use and admissibility into evidence in the proceeding of any document that they file by e-mail electronic means. The first document that a party files by e-mail electronic means must identify that party's e-mail address or facsimile number at which NFA may serve pleadings in the proceeding. Parties who provide an e-mail address or facsimile number must advise Legal Docketing of any change to the e-mail address or facsimile number.

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