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Proposed Rule

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

RULE 3-3. SERVICE.

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

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

    National Futures Association
    200 West Madison Street
    300 South Riverside Plaza
    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 Docketing@nfa.futures.org. Filing by delivery or mailing is effective upon receipt. Filing by electronic means is effective upon receipt of a readable document; and

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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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(c) Documents served by an applicant or registrant upon NFA under this Part 500 shall be considered served or filed only upon actual receipt by the Legal Docketing Department of National Futures Association, 200 West Madison Street, 300 South Riverside Plaza, Chicago, Illinois 60606.

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INTERPRETIVE NOTICES

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REGISTRATON RULE 402: CPOS OF POOLS TRADING PRIMARILY IN SECURITIES

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Waiver requests should be directed to:

    Director of Compliance
    National Futures Association
    200 West Madison Street
    Suite 1500

    300 South Riverside Plaza
    Chicago, Illinois 60606-3447

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REGISTRATION RULE 402: CTAS TRADING PRIMARILY IN SECURITIES

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Waiver requests should be directed to:

    Director of Compliance
    National Futures Association
    200 West Madison Street
    Suite 1500
    300 South Riverside Plaza
    Chicago, Illinois 60606-3447

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