Proposed Rule
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On July 20, 2001, NFA submitted proposed rules and interpretive notices to the Commission to comply with provisions of the Commodity Futures Modernization Act of 2000 regarding security futures products, and the Commission approved those rules and interpretive notices on August 20, 2001. Unfortunately, the wrong version of the Interpretive Notice on Obligations to Customers and Other Market Participants was inadvertently submitted to — and therefore approved by — the Commission.
The correct version is being submitted as an amendment to the version that was approved by the Commission. The correct version clarifies that certain requirements only apply to NFA Members who are registered as brokers or dealers in security futures products under Secton 15(b)(11) of the Securities Exchange Act of 1934.