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 5, 2007
National Futures Association: Technical Changes to Reflect NASD Name Change (Effective December 17, 2007)

December 5, 2007
National Futures Association: Proposed Amendments to the Interpretive Notice to Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program (Effective January 15, 2008)

November 30, 2007
National Futures Association: Misuse of Trade Secrets and Proprietary Information - Proposed Amendments to the Interpretive Notice to Compliance Rule 2-4 (Effective December 11, 2007)

November 29, 2007
National Futures Association: Address Change - Proposed Amendments to Compliance Rule 3-3, Registration Rule 502 and Interpretive Notices to Registration Rule 402 (Effective December 10, 2007)

November 29, 2007
National Futures Association: Service on Disciplinary Hearing Panels - Proposed Amendments to Compliance Rule 3-7 (Effective December 10, 2007)

November 29, 2007
National Futures Association: Resubmission of Disclosure of Forex Dealer Members' Conflicts of Interest - Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Effective June 1, 2008)

November 29, 2007
National Futures Association: Supervision of Forex Promotional Material - Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Effective July 1, 2008)

November 20, 2007
National Futures Association: Reduction to NFA's Assessment Fees - Proposed Amendments to Bylaw 1301 (Effective January 1, 2008)

September 27, 2007
National Futures Association: Contract Market Representation on NFA's Board of Directors - Proposed Amendments to NFA's Articles of Incorporation and Bylaws (Effective October 9, 2007)

August 17, 2007
National Futures Association: Disclosure of Forex Dealer Members' Conflicts of Interest -- Proposed Amendments to the Interpretive Notice Regarding Forex Transactions (Resubmitted November 29, 2007; effective June 1, 2008)

August 17, 2007
National Futures Association: FDM Financial Requirements - Proposed Amendments to NFA Financial Requirements Section 11 and the Interpretive Notice Regarding Forex Transactions (Effective December 21, 2007)

August 17, 2007
National Futures Association: Soliciting, Introducing or Managing Forex Transactions or Accounts - Proposed Amendments to NFA Compliance Rule 2-39 (Effective September 21, 2007)

August 17, 2007
National Futures Association: Forex Dealer Members Internal Financial Controls - Proposed Adoption of NFA Financial Requirements Section 15 and Amendments to the Interpretive Notice Regarding Forex Transactions (Effective September 21, 2007)

August 17, 2007
National Futures Association: NFA Arbitration Proceedings -- Proposed Amendments to Section 9 of NFA's Code of Arbitration and Member Arbitration Rules (Effective October 15, 2007)

August 17, 2007
National Futures Association: Supervision of the Use of Electronic Trading Systems - Proposed Amendments to the Interpretive Notice to Compliance Rule 2-36(e) (Effective October 15, 2007)

August 17, 2007
National Futures Association: Misuse of Trade Secrets and Proprietary Information - Proposed Interpretive Notice to Compliance Rule 2-4 (Effective September 5, 2007)

May 22, 2007
National Futures Association: Recovering the Cost of Regulating Forex Dealer Members -- Proposed Amendments to NFA Bylaws 1301, 1302 and 1303 and the Interpretive Notice Regarding Forex Transactions (Effective October 1, 2007)

May 22, 2007
National Futures Association: Annual Registration Updates -- Proposed Amendments to NFA Registration Rules 203 and 204 (Effective August 1, 2007)

May 22, 2007
National Futures Association: Deadline for Filing Termination Notices -- Proposed Amendments to Registration Rules 203 and 214 (Effective January 1, 2008)

May 22, 2007
National Futures Association: Forex Promotional Material -- Proposed Amendments to NFA Compliance Rules 2-36 and 2-39 Regarding and the Interpretive Notice Regarding Forex Transactions (Effective October 25, 2007)

May 22, 2007
National Futures Association: Service By Facsimile -- Proposed Amendments to NFA Compliance Rule 3-3 and Registration Rule 502 (Effective June 8, 2007)

May 22, 2007
National Futures Association: Technical Amendments to NFA's Forex Requirements -- Proposed Amendments to NFA Compliance Rules 2-6, 2-39, and 2-40, Code of Arbitration Section 1, and the Interpretive Notice Regarding Forex Transactions (Effective June 5, 2007)

May 22, 2007
National Futures Association: NFA Arbitration Proceedings -- Proposed Amendments to Section 6 of NFA's Code of Arbitration and Sections 1 and 5 of NFA's Member Arbitration Rules (Effective June 5, 2007)

February 27, 2007
National Futures Association: Proposed Amendments to Compliance Rule 2-9 and the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements (Effective November 1, 2007)

February 26, 2007
National Futures Association: Proposed Amendments to NFA's Compliance Rule 2-10 (Effective July 1, 2007)

February 26, 2007
National Futures Association: Proposed Interpretive Notice to NFA Compliance Rule 2-4 Regarding Disclosure Guidelines for FCMs Offering Sweeps Accounts (Effective July 1, 2007)

February 23, 2007
National Futures Association: Proposed Amendments to Section 11 of NFA's Financial Requirements and Interpretive Notice Regarding Forex Transactions (Effective May 7, 2007)

February 23, 2007
National Futures Association: Proposed Amendments to Interpretive Notice Regarding Forex Transactions (Effective March 9, 2007)

February 23, 2007
National Futures Association: Proposed Adoption of NFA Financial Requirements Section 14 Regarding Assets Covering Liability to Retail Forex Customers and Amendments to the Interpretive Notice Regarding Forex Transactions (Effective July 1, 2007)

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