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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-55732 | May 9, 2007 | SR-NFA-2007-02 | National Futures Association | Notice of Filing and Immediate Effectiveness of a Proposed Interpretive Notice to Compliance Rule 2-4 Regarding Disclosure Guidelines for FCMs Offering Sweep Accounts |
| 34-55710 | May 4, 2007 | SR-NFA-2007-03 | National Futures Association | 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) |
| 34-55525 | Mar 26, 2007 | SR-NFA-2007-01 | National Futures Association | Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-10 |
| 34-54995 | Dec 21, 2006 | SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) | 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 |
| 34-55002 | Dec 21, 2006 | SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) | 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 |
| 34-54980 | Dec 20, 2006 | SR-NFA-2006-04 | National Futures Association | 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 |
| 34-54979 | Dec 20, 2006 | SR-Amex-2006-77, SR-NYSEArca-2006-32, SR-NFA-2006-05 | NYSE Arca (NYSEARCA), National Futures Association, American Stock Exchange (Amex) | 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 |
| 34-54956 | Dec 18, 2006 | SR-NFA-2006-03 | National Futures Association | 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 |
| 34-53568 | Mar 29, 2006 | SR-NFA-2006-01 | National Futures Association | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice to Compliance Rule 2-9 |
| 34-53190 | Jan 30, 2006 | SR-NFA-2005-02 | National Futures Association | Notice of Filing and Immediate Effectiveness of a Proposed Amendment to NFA Compliance Rule 2-10 Regarding Recordkeeping |