Compliance Rules

Part 3 - Compliance Procedures

RULE 3-3. SERVICE.

[Adopted effective March 15, 1994. Effective date of amendments: June 3, 1997; June 8, 2007; December 10, 2007; August 31, 2020 and June 11, 2021.]

For purposes of any proceeding brought under Part 3 of these Rules:

(a) service of a Complaint will be sufficient if:

(i) mailed to the person charged ("the Respondent") by first class or overnight mail, to the last address provided by the Respondent on record with NFA, or the address of his duly authorized agent for service; or

(ii) sent using electronic mail, provided the party has an electronic mail address on record with NFA. However, if service by electronic mail is not acknowledged by the recipient, then NFA will serve the Complaint by mailing it to the Respondent as described in (i);

(b) one copy of all pleadings, motions and briefs filed with NFA subsequent to the Complaint shall be served by the party upon all parties not in default (including the attorney of record in NFA's General Counsel's Office), unless otherwise provided. Service on a party's representative shall be service on the party. Service shall be made either by personal service (effective upon delivery), mail (effective upon deposit), or e-mail (effective upon receipt of a readable document): provided, however, that service by e-mail shall only be permitted on parties who have consented to service by that means. Proof of service of a document shall be made by attaching thereto an affidavit or certificate of service. To mail means to deposit in the U.S. Mail, first-class postage prepaid, or with an overnight delivery service, delivery fee prepaid; and

(c) documents filed with NFA under this Part must be delivered or mailed to:

or sent by e-mail to Docketing@nfa.futures.org. Filing by delivery or mailing is effective upon receipt. Filing by electronic means is effective upon receipt of a readable document; and

(d) parties who file documents by electronic means thereby consent to accept service of pleadings in the proceedings by same method and waive any objection based on authenticity and genuineness to the use and admissibility into evidence in the proceeding of any document that they file by electronic means. The first document that a party files by electronic means must identify that party's e-mail address at which other parties may serve pleadings in the proceeding. Parties who provide an e-mail address must advise the Legal Docketing Department and all other parties not in default of any change to the e-mail address.