National Futures Association Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-55732 | SEC Issue Date:May 9, 2007 | File Number:SR-NFA-2007-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Interpretive Notice to Compliance Rule 2-4 Regarding Disclosure Guidelines for FCMs Offering Sweep Accounts |
| Release Number:34-55710 | SEC Issue Date:May 4, 2007 | File Number:SR-NFA-2007-03 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments to Compliance Rule 2-9 (Supervision) and the Interpretive Notice Regarding Compliance Rule 2-9 (Enhanced Supervisory Requirements) |
| Release Number:34-55525 | SEC Issue Date:Mar 26, 2007 | File Number:SR-NFA-2007-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-10 |
| Release Number:34-54995 | SEC Issue Date:Dec 21, 2006 | File Number:SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | SRO Organization:NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) |
Details: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rules 918 and 918-Ante Regarding Trading Rotations, Halts and Suspensions See Also - Rel. No. 34-55272 |
| Release Number:34-55002 | SEC Issue Date:Dec 21, 2006 | File Number:SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | SRO Organization:NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) |
Details: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rules 918 and 918-Ante Regarding Trading Rotations, Halts and Suspensions |
| Release Number:34-54980 | SEC Issue Date:Dec 20, 2006 | File Number:SR-NFA-2006-04 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to the Interpretive Notice Regarding NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for Security Futures Products |
| Release Number:34-54979 | SEC Issue Date:Dec 20, 2006 | File Number:SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | SRO Organization:NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Interpretive Notice Regarding Automated Order-Routing Systems |
| Release Number:34-54956 | SEC Issue Date:Dec 18, 2006 | File Number:SR-NFA-2006-03 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to the Interpretive Notice to Compliance Rule 2-9 Regarding FCM and IB AML Program Requirements |
| Release Number:34-53568 | SEC Issue Date:Mar 29, 2006 | File Number:SR-NFA-2006-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice to Compliance Rule 2-9 |
| Release Number:34-53190 | SEC Issue Date:Jan 30, 2006 | File Number:SR-NFA-2005-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Amendment to NFA Compliance Rule 2-10 Regarding Recordkeeping |