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Proposed Rule

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Proposed Amendments

B) Proposed Amendments to NFA Registration Rule 302(d) (additions are underscored):

REGISTRATION RULES

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PART 300. TEMPORARY LICENSES

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RULE 302. TEMPORARY LICENSING FOR GUARANTEED INTRODUCING BROKERS.

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    (d) Termination of a Temporary License.

    (1) A temporary license shall terminate:

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      (F) upon notice to the applicant and its guarantor FCM that:

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      (iv) the applicant failed to disclose relevant disciplinary history information in response to items 11 through 15 on the Form 7-R; or any principal failed to disclose relevant disciplinary history in response to items 14 through 18 on the Form 8-R; or (v) an event has occurred leading to an affirmative response to item(s) 11 through 15 on the applicant's Form 7-R or item(s) 14 through 18 on any principal's Form 8-R.

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