Rule Filings with the SEC
June 18, 2014
File No. SR-NFA-2014-05
Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective October 1, 2014)
June 18, 2014
File No. SR-NFA-2014-04
Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Adoption of the Interpretive Notice to NFA Compliance Rules 2-4 and 2:36: Prohibition on the Use of Certain Electronic Funding Mechanisms (Effective January 31, 2015)
April 7, 2014
File No. SR-NFA-2014-02
Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Securities Futures Contracts (Effective April 7, 2014)
April 7, 2014
File No. SR-NFA-2014-01
Self-Regulatory Organizations; National Futures Association; Notice of Filings and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs (Effective February 21, 2013)