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 3, 2019
Proposed Amendments to NFA Compliance Rules 2-8 and 2-30; Interpretive Notice 9004 - NFA Compliance Rule 2-30: Customer Information and Risk Disclosure; Interpretive Notice 9013 - NFA Compliance Rule 2-30: Customer Information and Risk Disclosure; Interpretive Notice 9029 - NFA Compliance Rule 2-10: The Allocation of Bunched Orders for Multiple Accounts; and Interpretive Notice 9065 - NFA Compliance Rule 2-10: The Allocation of Bunched Retail Forex Orders for Multiple Accounts (Effective March 1, 2020)

November 29, 2019
Reduction in Forex Dealer Member Assessment on Each Order Segment Fee Submitted to NFA's Forex Transaction Reporting Execution Surveillance System - NFA Bylaw 1301(e) and NFA Interpretive Notice Forex Transactions (Effective January 1, 2020)

August 29, 2019
Proposed Amendments to NFA Compliance Rule 2-29: Communications with the Public and Promotional Material, NFA Compliance Rule 2-36: Requirements for Forex Transactions, Related Interpretive Notices and other Technical Amendments to NFA Requirements (Effective January 1, 2020)

August 29, 2019
Proposed Amendments to NFA Interpretive Notice Entitled: Compliance Rule 2-13: Break-Even Analysis, NFA Compliance Rule 2-34 and the Interpretive Notice Entitled: Compliance Rule 2-34: Performance Reporting and Disclosures (Effective February 1, 2020)

May 21, 2019
Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs (Effective January 1, 2020)

May 21, 2019
Membership Dues Surcharge for Member Firms Engaging in Swaps Activities – NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective January 1, 2020)

March 8, 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 (Effective September 30, 2019)

March 6, 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 5, 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 1, 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