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CFTC Rule Submissions

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September 02, 2014
National Futures Association: Daily Confirmation of Funds Covering Liabilities to Retail Forex Customers — NFA Financial Requirements Section 14 Regarding Assets Covering Liabilities to Retail Forex Customers (Effective October 15, 2014)

September 02, 2014
National Futures Association: Decrease in Membership Dues for Major Swap Participants — NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective October 1, 2014)

August 28, 2014
National Futures Association: Electronic Filing of Introducing Broker Certified Focus Reports — NFA Financial Requirements Section 5 Regarding Introducing Broker Financial Requirements (Effective September 30, 2014)

August 27, 2014
National Futures Association: Submission of Swap Dealer and Major Swap Participant Filings Through WinJammer™ — NFA Compliance Rule 2-49 Regarding Swap Dealers and Major Swap Participants Regulations (Effective September 30, 2014)

July 10, 2014
National Futures Association: Composition of Board – Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors (Effective November 20, 2014)

June 18, 2014
National Futures Association: Electronic Funding Mechanisms – Adoption of the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

June 18, 2014
National Futures Association: Enhanced Supervisory Procedures – Proposed Amendments to NFA's Interpretive Notice Entitled "Compliance Rule 2-9: Enhanced Supervisory Procedures" (Effective October 1, 2014)

May 28, 2014
National Futures Association: Reduction to NFA's Assessment Fee – NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective October 1, 2014)

March 25, 2014
National Futures Association: Governance Structure - Proposed Amendments to NFA's Articles of Incorporation (Effective May 19, 2014)

March 06, 2014
National Futures Association: Late Disciplinary Disclosure Fees - Proposed Amendments to NFA Registration Rules 203 and 210 (Effective June 1, 2014)

February 25, 2014
National Futures Association: FCM and lB Regulations — Proposed Amendments to NFA Compliance Rule 2-26 to lncorporate CFTC Risk Management Program Requirement for FCMs (Effective July 12, 2014)

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