National Futures Association Rulemaking

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Release Number SEC Issue Date File Number SRO Organization Details
34-63602 Dec 22, 2010 SR-NFA-2010-04 National Futures Association 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
34-62651 Aug 4, 2010 SR-NFA-2010-03 National Futures Association 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
34-62624 Aug 2, 2010 SR-NFA-2010-02 National Futures Association 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"
34-61280 Jan 4, 2010 SR-NFA-2009-01 National Futures Association 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
34-61284 Jan 4, 2010 SR-NFA-2009-02 National Futures Association Notice of Filing and Immediate Effectiveness of a Proposed Change to the Interpretive Notice Regarding Security Futures Products Proficiency Training
See Also - Exhibit 4
34-58709 Oct 1, 2008 SR-NFA-2008-02 National Futures Association 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
34-57640 Apr 9, 2008 SR-NFA-2008-01 National Futures Association 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
34-57335 Feb 14, 2008 SR-NFA-2007-05 National Futures Association 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
34-57142 Jan 14, 2008 SR-NFA-2007-07 National Futures Association 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"
34-56667 Oct 17, 2007 SR-NFA-2007-04 National Futures Association Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Compliance Rule 2-4: Misuse of Trade Secrets and Proprietary Information
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