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Compliance Rules



RULE 2-49. SWAP DEALERS AND MAJOR SWAP PARTICIPANTS REGULATIONS
[Adopted effective December 19, 2013.]

(a) Any Swap Dealer or Major Swap Participant Member that violates CFTC Regulation 3.3 or any requirement under Part 23 of the CFTC's regulations, as applicable, shall be deemed to have violated an NFA Requirement.

(b) A Swap Dealer or Major Swap Participant Member must promptly submit to NFA upon request any reports, documents or notices, including those required under CFTC Regulation 3.3 or Part 23 of the CFTC's regulations, and any other supplemental information.

 
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