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 6, 2005
National Futures Association: Proposed Amendments to Compliance Rule 2-10 Regarding Recordkeeping (Effective April 1, 2006)

November 29, 2005
National Futures Association: Proposed Amendments to NFA Compliance Rule 2-7 and the Interpretive Notice Regarding Registration Requirements; Branch Offices (Effective December 9, 2005)

November 29, 2005
National Futures Association: Proposed Amendments to Bylaw 1301 Regarding Forex Dealer Member Dues (Effective April 30, 2006)

November 29, 2005
National Futures Association: Resubmission of Proposed Amendments to Financial Requirements Section 1 (to Impose a Capital Requirement on FCMs With Retail Forex Affiliates) and the Interpretive Notice Regarding Forex Transactions with Forex Dealer Members (Resubmitted January 26, 2006; effective July 31, 2006)

November 18, 2005
National Futures Association: Proposed Amendments to NFA Registration Rule 401 (Effective December 31, 2005)

September 19, 2005
National Futures Association: Proposed Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective February 15, 2006)

September 16, 2005
National Futures Association: Proposed Amendments to Financial Requirements Section 11 and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective July 31, 2006)

August 22, 2005
National Futures Association: Proposed Adoption of Compliance Rule 2-39 and Proposed Amendments to Compliance Rule 2-36, Financial Requirements Sections 11 and 12, and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective September 15, 2005 except for Compliance Rule 2-36, Financial Requirements Section 11, and the related portions of the Interpretive Notice, which are effective November 30, 2005.)

June 8, 2005
National Futures Association: Resubmission of Proposed Amendments and Interpretive Notice to NFA Compliance Rule 2-6, Conducting Commodity Futures Business With An Expelled or Suspended Member or Associate (Effective July 20, 2005)

June 3, 2005
National Futures Association: Proposed Amendments to NFA Bylaw 306 and Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Effective June 13, 2005)

June 3, 2005
National Futures Association: Proposed Amendments to NFA's Code of Arbitration and Member Arbitration Rules (Effective June 13, 2005)

March 7, 2005
National Futures Association: Proposed Adoption of Compliance Rule 2-39 and Proposed Amendments to Compliance Rule 2-36, Financial Requirements Sections 1, 11 and 12 and the Interpretive Notice Regarding Forex Transactions With Forex Dealer Members (Resubmitted August 22, 2005; effective September 15, 2005 except for Compliance Rule 2-36, Financial Requirements Section 11, and the related portions of the Interpretive Notice which are effective November 30, 2005)

March 1, 2005
National Futures Association: Proposed Amendments to Section 10(g) of NFA's Code of Arbitration and Member Arbitration Rules (Effective March 10, 2005)

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