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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November 22, 2021
Proposed Amendments to NFA Financial Requirements Section 18 Swap Dealer and Major Swap Participant Financial Requirements

November 22, 2021
Proposed Amendments to NFA Compliance Rule 2-7 Regarding NFA's Branch Office Manager Examination Requirement

August 31, 2021
Proposed Amendments to NFA Compliance Rule 2-49 to Incorporate CFTC Regulations regarding Mandatory Clearing and Mandatory Trade Execution Requirements (Effective September 30, 2021)

August 31, 2021
Proposed Amendments to NFA Financial Requirements Section 18: Swap Dealer and Major Swap Participant Requirements (Effective October 6, 2021)

August 23, 2021
Proposed Amendments to NFA Financial Requirements Section 10 to Impose Late Fee for Certain Swap Dealer Filings and Proposed Interpretive Notice entitled Financial Requirements Section 17: Initial Margin Model Ongoing Monitoring Reports (Effective October 6, 2021)

August 23, 2021
Proposed Amendments to NFA's Interpretive Notice: Registration Requirements: Branch Offices (Effective September 23, 2021)

June 01, 2021
Proposed Technical Amendments to NFA Bylaws and Rules to Provide for Electronic Service of Process (Effective June 11, 2021)

June 01, 2021
Proposed Amendments to NFA Compliance Rule 2-46 to Conform Filing Requirements to CFTC Regulation 4.27 (Effective June 11, 2021)

May 25, 2021
Proposed Amendments to NFA Bylaw 1301 and NFA Interpretive Notice 9053 entitled Forex Transactions to Reduce Forex Dealer Member Assessment on Order Segment Fees Submitted to FORTRESS (Effective July 1, 2021)

May 24, 2021
Amendments to NFA Member Dues for Swap Dealer and Major Swap Participant Members – NFA Bylaw 1301 regarding Schedule of Dues and Assessments (Effective January 1, 2022)

March 05, 2021
Proposed NFA Compliance Rule 2-50 and related Interpretive Notice entitled NFA Compliance Rule 2-50: CPO Notice Filing Requirement (Effective June 30, 2021)

February 26, 2021
Proposed Interpretive Notice entitled NFA Compliance Rules 2-9 and 2-36: Members' Use of Third-Party Service Providers (Effective September 30, 2021)

February 26, 2021
Proposed NFA Financial Requirements Section 18; Proposed Interpretive Notice entitled NFA Financial Requirements Section 18 - NFA Pre-Approval of the Use of Subordinated Debt; and Proposed Amendments to NFA Financial Requirements Sections 1 and 10 and NFA Registration Rule 201 (Effective October 6, 2021)

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