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Proposed Rule

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EXPLANATION OF PROPOSED AMENDMENTS

NFA regularly accepts and sends documents by facsimile ("fax") in arbitration, compliance, and disciplinary cases. The arbitration rules authorize service by fax, but the compliance and registration rules do not. As a result, staff and the parties in disciplinary and registration proceedings often provide two copies of the same document - one by fax to ensure that it arrives quickly and one by regular mail to comply with the rules.

In this electronic age, having the ability to serve documents by fax or electronic mail will make the process more efficient. The amendments to Compliance Rule 3-3 and Registration Rule 502 allow service of documents by fax once the initial pleading has been filed.

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