Rule Submissions to the CFTC

In accordance with Section 17 of the Commodity Exchange Act, NFA must submit its proposed rules to the CFTC. View NFA's proposed rule changes filed with the CFTC.

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March 08, 2019
Proposed Amendments to NFA Compliance Rule 2-9 to Incorporate Supervision Requirements into Certain Compliance Rules and Interpretive Notices; other Technical Amendments; and the Proposed Interpretive Notice Entitled: NFA Compliance Rule 2-9(d): Supervision Requirements for Swap Dealer and Major Swap Participant Members

March 06, 2019
SECOND AMENDED SUBMISSION—Proposed Amendments to Incorporate Swaps into Certain Compliance Rules and Interpretive Notices—NFA Compliance Rule 2-4: Guidelines for the Disclosure by FCMs and IBs of Costs Associated with Futures Transactions; NFA Compliance Rule 2-6: Conducting Commodity Futures Business with an Expelled or Suspended Member or Associate; NFA Compliance Rule 2-4: Disclosure Guidelines for FCMs Offering Sweep Accounts; and NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms (Effective July 1, 2019)

March 05, 2019
Proposed Amendments to NFA Bylaw 301 and NFA Compliance Rule 2-24 and Proposed Interpretive Notice Entitled: NFA Bylaw 301 and Compliance Rule 2-24: Proficiency Requirements for Swap APs (Effective January 31, 2020)

March 01, 2019
AMENDED SUBMISSION—Proposed Amendments to Incorporate Swaps into Certain Compliance Rules and Interpretive Notices—NFA Compliance Rule 2-4: Guidelines for the Disclosure by FCMs and IBs of Costs Associated with Futures Transactions; NFA Compliance Rule 2-6: Conducting Commodity Futures Business with an Expelled or Suspended Member or Associate; NFA Compliance Rule 2-4: Disclosure Guidelines for FCMs Offering Sweep Accounts; and NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms