News & Notices | National Futures Association

Proposed Rule

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PROPOSED AMENDMENTS
(additions are underscored and deletions are stricken through)

NFA COMPLIANCE RULE 2-9: FCM AND IB ANTI-MONEY LAUNDERING PROGRAM

INTERPRETIVE NOTICE

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B. Detection and Reporting of Suspicious Activity

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Footnote 22- Broker-dealers that are notice registered for purposes of offering security futures products are required to comply with the broker-dealer reporting requirements in the securities industry. Dually registered broker-dealers may comply with the SAR Requirements in the futures industry or the securities industry's requirements. See 68 FR 65392 (November 20, 2003) 67 FR 44048 (July 1, 2002)for these requirements.

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