SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NFA Rulemaking Archives: 2002

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 web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Chronological List

NFA File Number List for 2002

Additional Archives


Chronological List
Release No. Date Details

SR-NFA-2002-03
34-45887 May 7, 2002 Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program

SR-NFA-2002-02
34-45720 Apr. 10, 2002 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
Comments received electronically are available for this notice.


NFA File Number List for 2002
Release No. Date Details

SR-NFA-2002-03
34-45887 May 7, 2002 Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program

SR-NFA-2002-02
34-45720 Apr. 10, 2002 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
Comments received electronically are available for this notice.

 

http://www.sec.gov/rules/sro/nfa/nfaarchive/nfaarchive2002.shtml


Modified: 06/16/2008