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 |
---|---|---|---|---|
34-52808 | Nov 18, 2005 | SR-NFA-2005-01 | National Futures Association | Notice of Filing and Immediate Effectiveness of Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements |
34-50497 | Oct 6, 2004 | SR-NFA-2004-02 | National Futures Association | Notice to Bylaw 1101 and Compliance Rules 2-9 and 2-29 |
34-50461 | Sep 28, 2004 | SR-NFA-2004-01 | National Futures Association | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Adopting Bylaw 1508 Regarding Security Futures Agreements |
34-45887 | May 7, 2002 | SR-NFA-2002-03 | National Futures Association | Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program |
34-45720 | Apr 10, 2002 | SR-NFA-2002-02 | National Futures Association | 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 |
34-44823 | Sep 20, 2001 | SR-NFA-2001-01 | National Futures Association | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Futures Association Relating to Security Futures Products |