National Futures Association Rulemaking
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:34-63602 | SEC Issue Date:Dec 22, 2010 | File Number:SR-NFA-2010-04 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments, as Modified by Amendment No. 1 thereto, to the Interpretive Notice Regarding NFA Compliance Rule 2-9: Enhanced Supervisory Requirements |
| Release Number:34-62651 | SEC Issue Date:Aug 4, 2010 | File Number:SR-NFA-2010-03 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Changes to Compliance Rule 2-30 and the Related Interpretive Notice Regarding Customer Information and Risk Disclosure |
| Release Number:34-62624 | SEC Issue Date:Aug 2, 2010 | File Number:SR-NFA-2010-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Changes to Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts" |
| Release Number:34-61284 | SEC Issue Date:Jan 4, 2010 | File Number:SR-NFA-2009-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Change to the Interpretive Notice Regarding Security Futures Products Proficiency Training See Also - Exhibit 4 |
| Release Number:34-61280 | SEC Issue Date:Jan 4, 2010 | File Number:SR-NFA-2009-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Compliance Rule 2-29(h) and the Adoption of an Interpretive Notice Regarding the Use of On-Line Social Networking Groups to Communicate with the Public |
| Release Number:34-58709 | SEC Issue Date:Oct 1, 2008 | File Number:SR-NFA-2008-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements |
| Release Number:34-57640 | SEC Issue Date:Apr 9, 2008 | File Number:SR-NFA-2008-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program |
| Release Number:34-57335 | SEC Issue Date:Feb 14, 2008 | File Number:SR-NFA-2007-05 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments, as Modified by Amendment No. 1 thereto, to the Interpretive Notice Regarding Compliance Rule 2-4: Misuse of Trade Secrets and Proprietary Information |
| Release Number:34-57142 | SEC Issue Date:Jan 14, 2008 | File Number:SR-NFA-2007-07 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments to Compliance Rules 2-7 and 2-30 and the Interpretive Notices Entitled "NFA Compliance Rule 2-4: Confidentiality Language in Release Agreements," "Compliance Rule 2-9: Enhanced Supervisory Requirements," "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," "NFA Compliance Rule 2-37: Fair Commissions," "NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for Security Futures Products," and "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts" |
| Release Number:34-56667 | SEC Issue Date:Oct 17, 2007 | File Number:SR-NFA-2007-04 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Compliance Rule 2-4: Misuse of Trade Secrets and Proprietary Information |