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 2, 2020
Proposed Interpretive Notice entitled NFA Compliance Rule 2-9(d): Swap Dealer and Major Swap Participant Supervision of the Use of Marketing Materials (Effective May 31, 2021)

September 22, 2020
AMENDED SUBMISSION—Proposed Amendments to Part 3 of NFA's Compliance Rules regarding Virtual Hearings (Effective November 15, 2020)

September 22, 2020
AMENDED SUBMISSION—Proposed Amendments to Code of Arbitration and Member Arbitration Rules (Effective October 6, 2020)

September 3, 2020
Proposed Amendments to Code of Arbitration and Member Arbitration Rules

August 27, 2020
Proposed Amendments to Part 3 of NFA's Compliance Rules regarding Virtual Hearings

August 25, 2020
Proposed Amendments to NFA Interpretive Notice 9053 – Forex Transactions (Effective September 10, 2020)

May 29, 2020
Proposed Amendments to NFA Interpretive Notice 9050 – NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts (Effective August 14, 2020)

May 28, 2020
Proposed Amendments to NFA Interpretive Notice 9045 – Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program (Effective June 16, 2020)

May 20, 2020
Proposed Technical Amendments to NFA's Rules and Interpretive Notices (Effective June 30, 2020)

May 19, 2020
Proposed Amendments to Part 3 of NFA's Compliance Rules (Effective August 31, 2020)

March 5, 2020
Proposed Technical Amendments to NFA Interpretive Notice 9025 – Compliance Rule 2-29: Use of Promotional Material Containing Hypothetical Performance Results and Interpretive Notice 9053 – Forex Transactions (Effective March 20, 2020)

March 5, 2020
Proposed Amendments to NFA Compliance Rule 2-29: Communications with the Public and Promotional Material and Interpretive Notice 9003 –NFA Compliance Rule 2-29: Communications with the Public and Promotional Material (Effective April 22, 2020)