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Proposed Rule

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Proposed Amendments to NFA Compliance Rule 3-17
(Additions are underscored and deletions are stricken)

COMPLIANCE RULES

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Part 3 - COMPLIANCE PROCEDURES

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RULE 3-17. COMPOSITION OF COMMITTEES.

The Business Conduct Committee, Hearing Committee, Appeals Committee, Executive Committee, BCC Panel and Hearing Panel conducting a proceeding under these Part 3 rules shall include -

    (a) shall not include more thanat least one member who represents is or is employed by an NFA Member in the same a membership category (see Article VI) as other than the Respondent's membership category or as any single Respondent if there are multiple respondents; and

    (b) shall include at least one member who is not an NFA Member or Associate or employed by an NFA Member whenever the Respondent is a member of NFA's Board of Directors, the Business Conduct Committee, Hearing Committee, or Appeals Committee.

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