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July 06, 2021
Effective date for technical amendments regarding electronic service of process
Given technology advances and the efficiencies gained by utilizing electronic submission and e-mail, NFA amended several rules to require that notices be electronically filed with NFA. These amendments also removed references to hand-delivery, facsimile and telecopier. Specifically, NFA amended:
- Financial Requirements Sections 5, 6, 9, and 11 to require electronic notices and remove references to hand-delivery and facsimile;
- Bylaw 507 to eliminate the telecopier reference; and
- Part 3 of NFA's Compliance Rules to permit service of process by e-mail, subject to certain conditions.
NFA also amended Financial Requirements Section 9 to update the CFTC Regulation reference requiring FCMs to file reportable position reports.
NFA's Board of Directors supported and unanimously approved these amendments, which became effective on June 11, 2021.
NFA's June 1, 2021 submission letter to the CFTC contains more detailed information regarding these amendments. If you have any questions about these amendments, please contact Elizabeth Sheridan, Assistant General Counsel (firstname.lastname@example.org or 312-781-1479).