National Futures Association Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
|
SRO Organization
|
Details
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|---|---|---|---|---|
| Release Number:34-52808 | SEC Issue Date:Nov 18, 2005 | File Number:SR-NFA-2005-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements |
| Release Number:34-50497 | SEC Issue Date:Oct 6, 2004 | File Number:SR-NFA-2004-02 | SRO Organization:National Futures Association |
Details: Notice to Bylaw 1101 and Compliance Rules 2-9 and 2-29 |
| Release Number:34-50461 | SEC Issue Date:Sep 28, 2004 | File Number:SR-NFA-2004-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Adopting Bylaw 1508 Regarding Security Futures Agreements |
| Release Number:34-45887 | SEC Issue Date:May 7, 2002 | File Number:SR-NFA-2002-03 | SRO Organization:National Futures Association |
Details: Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program |
| Release Number:34-45720 | SEC Issue Date:Apr 10, 2002 | File Number:SR-NFA-2002-02 | SRO Organization:National Futures Association |
Details: Notice of Filing of Proposed Rule Change by National Futures Association Regarding Broker-Dealer Registration, Fair Commissions, and Best Execution Obligations with Respect to Security Futures Products View Received Comments See Also - and Best Execution Obligations with Respect to Security Futures Products Comments received electronically are available |
| Release Number:34-44823 | SEC Issue Date:Sep 20, 2001 | File Number:SR-NFA-2001-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Futures Association Relating to Security Futures Products |