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Amendments to Compliance Rule 2-46. CPO and CTA Reporting Requirements
June 30, 2017— Amendments to Compliance Rule 2-46. and new NFA Interpretive Notice NFA Compliance Rule 2-46: Reporting Financial Information on NFA Forms PQR and PR. An explanation of the amendments and Interpretive Notice can be found in the September 6, 2016 rule submission letter.
Code of Arbitration
SECTION 20. OTHER LEGAL PROCEEDINGS
[Adopted effective October 7, 2010; and September 19, 2016.]
During an arbitration proceeding filed by a customer that is not an eligible contract participant as defined in Section 1a(18) of the Act, no party to the arbitration may institute any suit, legal action, or proceeding outside of the arbitration proceeding against any other party that concerns or would resolve any of the matters raised in the arbitration.