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Wed, 15 Sep 2017— Amendments to Bylaw 301. An explanation of the amendments and Interpretive Notice can be found in the August 30, 2017 rule submission letter.
Wed, 15 Sep 2017— Amendments to Registration Rules. An explanation of the amendments and Interpretive Notice can be found in the August 30, 2017 rule submission letter.
Wed, 15 Sep 2017— Amendments to Compliance Rule 2-9: NFA Interpretive Notice NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934. An explanation of the amendments and Interpretive Notice can be found in the August 30, 2017 rule submission letter.
Part 600. Withdrawal from Registration
RULE 601. WITHDRAWAL FROM REGISTRATION.
[Adopted effective April 4, 1988. Effective dates of amendments: June 8, 1988; September 29, 1989; September 21, 1993; May 31, 2002; September 30, 2010; July 18, 2012 and September 15, 2017.]
(a) An FCM, RFED, SD, MSP, FTF, IB, CTA, CPO, LTM, FB or FT may request that its registration be withdrawn in accordance with the requirements of this Rule if:
(1) the registrant has ceased, or has not commenced, engaging in activities requiring registration in such capacity; or
(2) the registrant is exempt from registration in such capacity; or
(3) the registrant is excluded from the persons or any class of persons required to be registered in such capacity. Provided, that NFA may consider separately each capacity for which withdrawal is requested in acting upon such a request.
(b) An FCM, RFED, FTF, SD, MSP, IB, CPO, CTA or LTM requesting withdrawal from registration under this Rule must file a Form 7-W completed and filed with NFA in accordance with all pertinent instructions. A FB or FT requesting withdrawal from registration under this Rule must file a Form 8-W completed and filed with NFA in accordance with all pertinent instructions. In addition, any FB or FT requesting withdrawal from registration must file a copy of his Form 8-W with each contract market or SEF that has granted him trading privileges and any FTF requesting withdrawal must file a copy of its Form 7-W with each contract market or SEF that has granted it trading privileges.
(c) A request for withdrawal from registration will become effective on the 30th day after receipt of such request by NFA, or earlier upon notice from NFA of the granting of such request, unless prior to the effective date:
(1) the Commission or NFA has instituted a proceeding to suspend or revoke such registration;
(2) the Commission or NFA imposes or gives notice that it intends to impose terms or conditions upon such withdrawal from registration;
(3) the registrant is given notice that it is currently the subject of an investigation to determine, among other things, whether such registrant has violated, is violating, or is about to violate the Act, rules, regulations, or orders adopted thereunder;
(4) NFA requests from the registrant further information pertaining to its request for withdrawal from registration; or
(5) NFA determines that it would be contrary to the requirements of the Act or of any rule, regulation or order thereunder, or to the public interest to permit such withdrawal from registration.
(d) Withdrawal from registration in one capacity does not constitute withdrawal from registration in any other capacity.
(e) Withdrawal from registration does not constitute a release from liability for any violation of the Act or of any rule, regulation or order thereunder, which occurred while a person was registered.