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, 2014
National Futures Association: Prohibition of Loans by Commodity Pools to CPOs and Related Entities — Amendments to the Interpretive Notice to NFA Compliance Rule 2-45 (Effective February 5, 2015)

December 1, 2014
National Futures Association: Election Process for Board Representatives and Nominating Committee Members — Technical Amendments to NFA Bylaw 406 Regarding Elections (Effective December 15, 2014)

December 1, 2014
National Futures Association: Swaps Related Activities — Proposed Amendment to NFA Compliance Rule 2-4 Regarding Just and Equitable Principles of Trade (Effective January 5, 2015)

September 2, 2014
National Futures Association: Daily Confirmation of Funds Covering Liabilities to Retail Forex Customers — NFA Financial Requirements Section 14 Regarding Assets Covering Liabilities to Retail Forex Customers (Effective October 15, 2014)

September 2, 2014
National Futures Association: Decrease in Membership Dues for Major Swap Participants — NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective October 1, 2014)

August 28, 2014
National Futures Association: Electronic Filing of Introducing Broker Certified Focus Reports — NFA Financial Requirements Section 5 Regarding Introducing Broker Financial Requirements (Effective September 30, 2014)

August 27, 2014
National Futures Association: Submission of Swap Dealer and Major Swap Participant Filings Through WinJammer™ — NFA Compliance Rule 2-49 Regarding Swap Dealers and Major Swap Participants Regulations (Effective September 30, 2014)

July 10, 2014
National Futures Association: Composition of Board - Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors (Effective November 20, 2014)

June 18, 2014
National Futures Association: Electronic Funding Mechanisms - Adoption of the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms (Effective January 31, 2015)

June 18, 2014
National Futures Association: Enhanced Supervisory Procedures - Proposed Amendments to NFA's Interpretive Notice Entitled "Compliance Rule 2-9: Enhanced Supervisory Procedures" (Effective October 1, 2014)

May 28, 2014
National Futures Association: Reduction to NFA's Assessment Fee - NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective October 1, 2014)

March 25, 2014
National Futures Association: Governance Structure - Proposed Amendments to NFA's Articles of Incorporation (Effective May 19, 2014)

March 5, 2014
National Futures Association: Late Disciplinary Disclosure Fees - Proposed Amendments to NFA Registration Rules 203 and 210 (Effective June 1, 2014)

February 25, 2014
National Futures Association: FCM and lB Regulations — Proposed Amendments to NFA Compliance Rule 2-26 to lncorporate CFTC Risk Management Program Requirement for FCMs (Effective July 12, 2014)

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