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NFA Rulemaking

We encourage the public to submit comments on the following National Futures Association (NFA) 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.

* Chronological List
Third Quarter | Second Quarter | First Quarter

* File Number List for 2014

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

SR-NFA-2014-05
34-72514 Jul. 2, 2014 Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled "NFA Compliance Rule 2-9: Enhanced Supervisory Requirements"
Comments due: July 30, 2014
Second Quarter

SR-NFA-2014-04
34-72498 Jun. 30, 2014 Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms
Comments due: July 28, 2014

SR-NFA-2014-02
34-71980 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts"
Comments due: May 16, 2014

SR-NFA-2014-01
34-71976 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs
Comments due: May 16, 2014

File Number List for 2013

Release No. Date Details

SR-NFA-2014-04
34-72498 Jun. 30, 2014 Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms
Comments due: July 28, 2014

SR-NFA-2014-02
34-71980 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice entitled "NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts"
Comments due: May 16, 2014

SR-NFA-2014-01
34-71976 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs
Comments due: May 16, 2014

 

http://www.sec.gov/rules/sro/nfa.shtml


Modified: 07/15/2014