We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-97444 SEC Issue Date:May 5, 2023 File Number:SR-NFA-2023-01 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Change to NFA Compliance Rule 2-9(c) and the Interpretive Notice Entitled "NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program"
Comments Due: June 1, 2023
See Also - Exhibit 5(a)-(k)
Submit a Comment on SR-NFA-2023-01
Release Number:34-84076 SEC Issue Date:Sep 11, 2018 File Number:SR-NFA-2018-04 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
See Also - Exhibit 4
Release Number:34-83589 SEC Issue Date:Jul 3, 2018 File Number:SR-NFA-2018-03 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts
Release Number:34-83491 SEC Issue Date:Jun 21, 2018 File Number:SR-NFA-2018-01 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to 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
Release Number:34-83490 SEC Issue Date:Jun 21, 2018 File Number:SR-NFA-2018-02 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members to Maintain a Record of All Electronic Written Communications
Release Number:34-76644 SEC Issue Date:Dec 15, 2015 File Number:SR-NFA-2015-01 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs
Release Number:34-72514 SEC Issue Date:Jul 2, 2014 File Number:SR-NFA-2014-05 SRO Organization:National Futures Association Details: Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled "NFA Compliance Rule 2-9: Enhanced Supervisory Requirements"
Release Number:34-72498 SEC Issue Date:Jun 30, 2014 File Number:SR-NFA-2014-04 SRO Organization:National Futures Association Details: Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms
Release Number:34-71980 SEC Issue Date:Apr 21, 2014 File Number:SR-NFA-2014-02 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts"
Release Number:34-71976 SEC Issue Date:Apr 21, 2014 File Number:SR-NFA-2014-01 SRO Organization:National Futures Association Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs
Displaying 1 - 10 of 36