Proposed Rule
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(additions are underscored and deletions are
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Part 2 - RULES GOVERNING THE BUSINESS CONDUCT OF MEMBERS REGISTERED WITH THE COMMISSION
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RULE 2-36. REQUIREMENTS FOR FOREX TRANSACTIONS
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The Compliance Director may require any Forex Dealer Member for any specified period to file copies of all promotional material with NFA for its review and approval at least 10 days prior to its first use or such shorter period as NFA may allow. The Compliance Director may also require a Forex Dealer Member to file for review and approval copies of promotional material prepared or used by some or all of the non-Members it is responsible for under Section (d).
(hi) Scope
(ij) Definition of Customer
RULE 2-39. SOLICITING, INTRODUCING, OR MANAGING OFF-EXCHANGE RETAIL FOREX TRANSACTIONS OR ACCOUNTS.
(a) Except for Members who meet the criteria in Bylaw 306(b) and Associates acting on their behalf, Members and Associates who solicit customers, introduce customers to a counterparty, or manage accounts on behalf of customers in connection with forex transactions shall comply with subsSections (a), (b), (c), and (e), and (h) of Compliance Rule 2-36.
INTERPRETIVE NOTICES
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FOREX TRANSACTIONS
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B. COMPLIANCE RULE 2-36
5. Communications with the Public and Promotional Material - No Member or Associate shall make any communication with potential or current retail customers that operates as a fraud or deceit; uses a high-pressure approach; or implies that forex transactions are appropriate for all persons.
NFA may require any Member for any specified period to file copies of all promotional material with NFA promptly after its first use.