Registration Rules

Part 200. Registration Requirements and Procedures

RULE 201. REGISTRATION REQUIREMENTS AND PROCEDURES.

[Adopted effective April 4, 1988. Effective dates of amendments: August 3, 1990; April 26, 1993; September 21, 1993; August 1, 1994; June 30, 1998; September 7, 1998; January 6, 1999; September 17, 1999; May 31, 2002;  July 18, 2012; July 9, 2013; March 21, 2014; September 15, 2017; and October 6, 2021.]

Except as otherwise provided in the Rules, NFA shall perform registration functions in accordance with the provisions set forth in these Rules for all persons, except Swap Dealers (SD) and Major Swap Participants (MSP) and principals of SDs and MSPs for whom it has been granted registration responsibilities pursuant to Section 8a(10) or Section 17(o) of the Act. Except as provided below, NFA shall perform registration functions with respect to SDs and MSPs and principals of SDs and MSPs in accordance with all of the Regulations governing the registration contained in Part 3 of the Commission's Regulations and CFTC Regulation 23.101(c).