Proposed Rule
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B) Proposed Amendments to NFA Registration Rule 302(d) (additions are underscored):
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PART 300. TEMPORARY LICENSES
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RULE 302. TEMPORARY LICENSING FOR GUARANTEED INTRODUCING BROKERS.
- (d) Termination of a Temporary License.
(1) A temporary license shall terminate:
- (F) upon notice to the applicant and its guarantor FCM that:
(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.