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CFTC Rule Submissions

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November 30, 2006
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Automated Order-Routing Systems (Effective December 12, 2006)

November 21, 2006
National Futures Association: Proposed Amendments to NFA Financial Requirements for Forex Dealer Members (Effective March 31, 2007)

November 21, 2006
National Futures Association: Proposed Amendments to the Interpretive Notice to Compliance Rule 2-36 Regarding Forex Transactions With Forex Dealer Members (Effective March 7, 2007)

November 21, 2006
National Futures Association: Adoption of Compliance Rule 2-40 - Bulk Assignment or Liquidation of Forex Positions; Cessation of Customer Business and the Interpretive Notice Entitled "Procedures for the Bulk Assignment or Liquidation of Forex Positions; Cessation of Customer Business" (effective February 16, 2007)

November 21, 2006
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding SFP Proficiency Training (Effective December 4, 2006)

November 21, 2006
National Futures Association: Proposed Interpretive Notice to Compliance Rule 2-36(e) Regarding Supervision of the Use of Electronic Trading Systems (Effective July 1, 2007)

November 21, 2006
National Futures Association: Proposed Amendments to Bylaw 1301(a) Reducing the Rate Paid by Exchange Members (Effective December 4, 2006)

November 21, 2006
National Futures Association: Proposed Amendments to NFA Financial Requirements Section 2 Regarding the Eligibility to Guarantee IBs (Effective December 4, 2006)

November 13, 2006
National Futures Association: Proposed Amendments to NFA's Bylaws 306 and 1507; Compliance Rules 1-1, 2-36 and 2-39; Code of Arbitration Section 1; Financial Requirements Sections 1, 11 and 12; and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective February 13, 2007)

November 06, 2006
National Futures Association: Proposed Amendments to NFA's Interpretive Notice Regarding FCM and IB AML Program Requirements (Effective November 16, 2006)

August 17, 2006
National Futures Association: Proposed Amendments to Section 5 of NFA's Financial Requirements Providing for the Electronic Filing of Certain Certified Financial Statements for Introducing Brokers (Effective December 22, 2006)

August 17, 2006
National Futures Association: Proposed Interpretive Notice Regarding Commissions, Fees and Other Charges (Effective November 1, 2006)

July 05, 2006
National Futures Association: Proposed Amendments to NFA's Interpretive Notice Regarding Forex Transactions with Forex Dealer Members (Amending February 27, 2006 submission letter) (Effective October 1, 2006)

May 22, 2006
National Futures Association: Proposed Amendments to Sections 10(g) of NFA's Code of Arbitration and Arbitration Rules (Effective October 1, 2006)

May 22, 2006
National Futures Association: Proposed Amendments to Section 1(m) of NFA's Code of Arbitration (Effective August 30, 2006)

May 22, 2006
National Futures Association: Proposed Amendments to Section 11 of NFA's Financial Requirements Relating to the Concentration Charge on Affiliate Transactions (Effective August 9, 2006)

May 22, 2006
National Futures Association: Proposed Adoption of Compliance Rules 4-1 and 4-2 (Effective June 2, 2006)

May 22, 2006
National Futures Association: Proposed Amendments to Section 1 of NFA's Financial Requirements Regarding Capital Requirements for Forex Options Dealers and FCMs With Forex Affiliates (Effective July 31, 2006)

February 27, 2006
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective April 15, 2006)

February 27, 2006
National Futures Association: Proposed Amendments to NFA's Financial Requirements to Add a New Section 13 and to the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Amended July 5, 2006) (Financial Requirements effective July 25, 2006, Interpretive Notice effective October 1, 2006)

February 27, 2006
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective April 30, 2006)

February 27, 2006
National Futures Association: Proposed Amendments to NFA's Financial Requirements Section 1 Regarding Futures Commission Merchants; Section 5 Regarding Introducing Brokers; and Section 11 Regarding Forex Dealer Members (Effective July 31, 2006)

February 27, 2006
National Futures Association: Proposed Amendments to NFA's Code of Arbitration and Member Arbitration Rules (Effective June 1, 2006)

January 26, 2006
National Futures Association: Resubmission of Proposed Amendments to Financial Requirements Section 1 (to Impose a Capital Requirement on FCMs With Retail Forex Affiliates) and the Interpretive Notice Regarding Forex Transactions with Forex Dealer Members (Effective July 31, 2006)

January 26, 2006
National Futures Association: Proposed Amendments to Financial Requirements Section 1 (to Impose a Capital Requirement on Forex Options Dealers) (Effective July 31, 2006)

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