About NFA | Site Index | Contact NFA (Contáctenos)

News Center

Print Page
Home > News Center > Proposed Rule

Proposed Rule

2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996

Proposed Amendments

B) Proposed Amendments to NFA Registration Rule 302(d) (additions are underscored):

REGISTRATION RULES

* * *

PART 300. TEMPORARY LICENSES

* * *

RULE 302. TEMPORARY LICENSING FOR GUARANTEED INTRODUCING BROKERS.

* * *

    (d) Termination of a Temporary License.

    (1) A temporary license shall terminate:

    * * *

      (F) upon notice to the applicant and its guarantor FCM that:

      * * *

      (iv) the applicant failed to disclose relevant disciplinary history information in response to items 11 through 15 on the Form 7-R; or any principal failed to disclose relevant disciplinary history in response to items 14 through 18 on the Form 8-R; or (v) an event has occurred leading to an affirmative response to item(s) 11 through 15 on the applicant's Form 7-R or item(s) 14 through 18 on any principal's Form 8-R.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy