Notices to Members

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Notice I-20-40

November 12, 2020

Effective date for amendments to Part 3 of NFA's Compliance Rules allowing virtual hearings

Part 3 of NFA's Compliance Rules sets forth the compliance procedures that control NFA's disciplinary processes. NFA recently amended these rules to specify that an NFA Hearing Panel has the authority to order a virtual hearing in extraordinary circumstances where an in-person hearing is not feasible, such as the ongoing COVID-19 pandemic.

These amendments will become effective on November 15, 2020.

More information regarding these amendments can be found in NFA's September 22, 2020 submission letter to the CFTC. If you have any questions regarding these amendments, please contact Julia Wood, Senior Attorney (jwood@nfa.futures.org or 312-781-7459).

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