News & Notices | National Futures Association

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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December 12, 2003
National Futures Association: Proficiency Requirements for Security Futures Products (Effective December 26, 2003)

December 04, 2003
National Futures Association: Proposed Deletion of NFA Compliance Rules 2-13(d) and 2-35(d) and the Interpretive Notice Concerning CPO Profile Documents, and Proposed Amendments to NFA Registration Rules 204 and 802 and Section 2 of NFA's Code of Arbitration and Sections 4 and 5 of NFA's Member Arbitration Rules (Effective December 14, 2003)

August 27, 2003
National Futures Association: Proposed Amendments to NFA Bylaws 301(i) and 1301(b) and NFA's Interpretive Notice Entitled "NFA Compliance Rule 2-10: The Allocation of Block Orders for Multiple Accounts," and the Proposed Deletion of NFA's Interpretive Notice Entitled "NFA Compliance Rule 2-10: Orders Eligible for Post-Execution Allocation" (Effective September 12, 2003)

June 02, 2003
National Futures Association: Proposed Amendments to NFA Bylaws 306 and 1301, NFA Compliance Rule 2-36 and Section 1 of NFA's Code of Arbitration, and Proposed Adoption of Sections 11 and 12 of NFA Financial Requirements and an Interpretive Notice entitled, "Forex Transactions with Forex Dealer Members" (Effective December 1, 2003)

May 27, 2003
National Futures Association: Proposed Amendments to NFA Registration Rules 202, 203, 204, 801 and 802 and NFA Bylaw 301(j) (Effective July 21, 2003)

April 21, 2003
National Futures Association: Proposed Amendments to Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for Security Futures Products (Effective May 5, 2003)

March 04, 2003
National Futures Association: Proposed Amendments to NFA Bylaws 301 and 1303 (Effective March 18, 2003)

March 04, 2003
National Futures Association: Proposed Adoptions of Section 10 of NFA Financial Requirements and NFA Compliance Rule 2-38 and an Interpretive Notice to NFA Compliance Rule 2-38 Regarding Business Continuity and Disaster Recovery Plan (Effective July 1, 2003)

March 04, 2003
National Futures Association: Proposed Adoption of an Interpretive Notice to NFA Compliance Rule 2-9 Regarding Ethics Training Requirements (Effective July 1, 2003)

March 04, 2003
National Futures Association: Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9 Regarding Enhanced Supervisory Requirements (Effective March 18, 2003)

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