News & Notices | National Futures Association

Comment Letters

When appropriate, NFA submits comment letters in response to federal rulemakings and IOSCO initiatives.

2017 | 2016 | 2015 | 2014 | 2013 | Show more years

December 05, 2001
Proposed Rule 41.42 - Treatment of Customer Funds; Applicability of CFTC and SEC Customer Protection, Recordkeeping, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products (Dec. 05, 2001)

December 05, 2001
File No. S7-17-01; Applicability of CFTC and SEC Customer Protection, Recordkeeping, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products (Dec. 05, 2001)

December 05, 2001
Customer Margin for Security Futures (Dec. 05, 2001)

December 05, 2001
File No. S7-16-01; Customer Margin Rules Relating to Security Futures (Dec. 05, 2001)

September 19, 2001
Rules Relating to Intermediaries of Commodity Interest Transactions; 66 Fed. Reg. 45221 (Aug. 28, 2001)

June 26, 2001
File No. S7-13-01, Release No. 34-44455 - Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 - 66 Fed. Reg. 34042 (June 26, 2001)

June 19, 2001
Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers; 66 Fed. Reg. 27476 (May 17, 2001)

June 14, 2001
File No. S7-10-01; Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations

April 09, 2001
Proposed Rules Concerning A New Regulatory Framework for Trading Facilities

Subscribe to NFA Email Communications