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CFTC Rule Submissions

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December 12, 2013
National Futures Association: Allocation of Bunched Orders - Proposed Amendments to NFA's Interpretive Notice Entitled NFA Compliance Rule 2-10: The Allocation of Bunched Orders for Multiple Accounts and NFA's Interpretive Notice Entitled NFA Compliance Rule 2-10: The Allocation of Bunched Retail Forex Orders for Multiple Accounts (Effective March 21, 2014)

December 05, 2013
National Futures Association: Registration Requirements, Procedures and Fees - Proposed Technical Amendments to NFA Registration Rule 201 Regarding Registration Requirements and Procedures and NFA Registration Rule 203 Regarding Registration Fees (Effective March 21, 2014)

December 05, 2013
National Futures Association: FCM and FDM Risk Management Reporting Requirements - Proposed Amendments to NFA Financial Requirements Section 8 Regarding Information Requests (Effective March 21, 2014)

December 05, 2013
National Futures Association: Risk Disclosure Statement for Securities Futures Contracts - Proposed Amendments to NFA's Interpretive Notice Entitled Compliance Rule 2-30(b): Risk Disclosure Statement for Securities Futures Contracts

September 03, 2013
National Futures Association: Rules to Govern the Conduct of Swap Dealers and Major Swap Participants - Proposed Adoption of NFA Compliance Rule 2-49 (Effective December 19, 2013)

August 29, 2013
National Futures Association: NFA's Committee Structure - Proposed Amendments to NFA's Bylaws and NFA Compliance Rule 3-17 (Effective February 20, 2014)

August 27, 2013
National Futures Association: Consolidation of Arbitration Claims Involving Customer Segregated Funds Losses - Proposed Amendments to NFA's Code of Arbitration (Effective January 15, 2014)

August 21, 2013
National Futures Association: Increase to Fees for Late Financial and Regulatory Filings - Proposed Amendments to NFA Financial Requirements Sections 10 and 13 and NFA Compliance Rule 2-48 (Effective December 2, 2013)

August 21, 2013
National Futures Association: Phase 2 of the Daily Segregation Monitoring Systems - Proposed Technical Amendment to NFA Financial Requirements Section 4 (Effective September 6, 2013)

August 21, 2013
National Futures Association: Business Continuity and Disaster Recovery Plan - Proposed Amendments to NFA Compliance Rule 2-38 (Effective September 30, 2013)

May 22, 2013
National Futures Association: Proposed Technical Amendment to NFA Registration Rule 101 (Effective October 21, 2013)

May 22, 2013
National Futures Association: FCM Internal Control Systems - Proposed Adoption of the Interpretive Notice to NFA Compliance Rule 2-9

March 04, 2013
National Futures Association: Prohibition of Loans by Commodity Pools to CPOs and Affiliated Entities Proposed Amendments to NFA Compliance Rule 2-45 and its Related Interpretive Notice (Effective September 13, 2013)

March 01, 2013
National Futures Association: Proposed Technical Amendments to NFA Compliance Rule 2-7, Registration Rules 201, 203 and 501 and the Interpretive Notice to Registration Rule 402 Regarding CTAs Trading Primarily in Securities (Effective July 9, 2013)

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