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CFTC Rule Submissions

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December 08, 2004
National Futures Association: Proposed Amendments to NFA Compliance Rule 2-6 and Proposed Interpretive Notice Regarding Conducting Commodity Futures Business With an Expelled or Suspended Member or Associate (Resubmitted June 8, 2005; effective July 20, 2005)

December 07, 2004
National Futures Association: Proposed Amendments to NFA Bylaws 301 and 701 and Registration Rules 402, 501, 503 and 504 (Effective December 15, 2004) (Bylaw 701 becomes effective February 15, 2005)

September 09, 2004
National Futures Association: Proposed Interpretive Notice to NFA Bylaw 1101 and Compliance Rules 2-9 and 2-29 Entitled Guidelines Relating to the Registration of Third-Party Trading System Developers and the Responsibility of NFA Members for Promotional Material That Promotes Third-Party Trading System Developers and Their Trading Systems (Effective January 10, 2005)

September 07, 2004
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members and the Interpretive Notice to Compliance Rule 2-9 Regarding Enhanced Supervisory Procedures (Effective November 9, 2004)

September 03, 2004
National Futures Association: Proposed Adoption of NFA Bylaw 1508 Regarding Security Futures Agreements (Effective September 17, 2004)

August 31, 2004
National Futures Association: Proposed Amendment to NFA Bylaw 1301 (Effective January 1, 2005)

August 31, 2004
National Futures Association: Proposed Amendments to Bylaws 301, 701, 702, 704 and 707, Compliance Rule 3-17 and Registration Rule 501 Relating to Non-Member Involvement in NFA's Disciplinary and Membership Committee Actions (Effective January 1, 2005) (Amendments to Bylaws 301 and 701 were superseded by subsequent amendments prior to effective date)

August 26, 2004
National Futures Association: Proposed Amendments to Sections 1, 2 and 5 of NFA Financial Requirements (Effective September 30, 2004)

June 01, 2004
National Futures Association: Proposed Amendments to Section 5 of NFA's Financial Requirements (Effective June 30, 2004)

May 26, 2004
National Futures Association: Proposed Amendments to NFA Bylaws 1301(b)(i), (b)(ii) and (d) (Effective July 1, 2004 - Bylaw 1301(b)(ii) and (d)) (Effective January 1, 2005 - Bylaw 1301(b)(i))

May 25, 2004
National Futures Association: Proposed NFA Bylaw 1402 (Effective November 12, 2004)

May 24, 2004
National Futures Association: Proposed Amendments of NFA Financial Requirements Sections 11 and 12 and the Interpretive Notice Concerning Forex Transactions With Forex Dealer Members (Effective June 6, 2004) (Effective July 1, 2004 - dues calculation)

March 10, 2004
National Futures Association: Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-34 Regarding Performance Reporting and Disclosures (Effective May 1, 2004)

February 27, 2004
National Futures Association: Proposed Amendments to NFA Registration Rules 504 and 509 (Effective April 2, 2004)

January 02, 2004
National Futures Association: Resubmission of Proposed Adoption of NFA Compliance Rule 2-34 and its Interpretive Notice Concerning Performance Reporting and Disclosures, Resubmission of Proposed Amendments to Compliance Rule 2-29(b)(5) and Proposed Amendments to Compliance Rule 1-1 (Effective May 1, 2004)

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