Compliance Rules

Part 3 - Compliance Procedures

RULE 3-12. NOTICE AND PUBLICATION.

[Effective date of amendments: March 15, 1994 and July 1, 2024.]

(a) NFA shall make the following available on BASIC, NFA's public database:

(i) Complaints issued by the Business Conduct Committee under Rule 3-4;

(ii) Respondent's Answer to a Complaint filed under Rule 3-6;

(iii) Decisions issued under Rule 3-10 or 3-11; and

(iv) Member and Associate Responsibility Actions and Decisions issued under Rule 3-15.

(b) NFA shall promptly serve written notice of any Complaint under Rule 3-4 and any final action taken under Rule 3-10 or Rule 3-11 to the Commission.