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Registration Rules



RULE 201. REGISTRATION REQUIREMENTS AND PROCEDURES.
[Adopted effective April 4, 1988. Effective dates of amendments: August 3, 1990; April 26, 1993; September 21, 1993; August 1, 1994; June 30, 1998; September 7, 1998; January 6, 1999; September 17, 1999; May 31, 2002;  July 18, 2012; July 9, 2013 and March 21, 2014.]

NFA shall perform registration functions in accordance with the provisions set forth in these Rules for all persons, except Swap Dealers ("SD"), Major Swap Participants ("MSP"), Floor Trader Firms ("FTF") and principals of SDs, MSPs and FTFs, for whom it has been granted registration responsibilities pursuant to Section 8a(10) or Section 17(o) of the Act. Except as provided below, NFA shall perform registration functions with respect to SDs, MSPs, FTFs and principals of SDs, MSPs and FTFs in accordance with all of the Regulations governing the registration contained in Part 3 of the Commission's Regulations. Rule 203 of these Rules shall govern the registration fees for SDs, MSPs, FTFs and principals of SDs, MSPs and FTFs. Part 500 of these Rules shall govern adverse registration proceedings involving SDs, MSPs, FTFs and principals of SDs, MSPs and FTFs. Part 700 of these Rules shall govern access to and certification of registration records maintained by NFA regarding ATMs, principals of ATMs, ATM APs, SDs, MSPs, FTFs and principals of SDs, MSPs and FTFs. Part 800 shall govern the electronic filing of registration forms by SDs, MSPs, FTFs and principals of SDs, MSPs and FTFs.

 
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