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NFA Rulemaking Archives: 2006

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

NFA File Number List for 2006

Additional Archives


Chronological List
Release No. Date Details

SR-NFA-2006-04
34-54980 Dec. 20, 2006 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
Comments Due:  January 29, 2007

SR-NFA-2006-05
34-54979 Dec. 20, 2006 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
Comments Due:  January 29, 2007

SR-NFA-2006-03
34-54956 Dec. 18, 2006 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
Comments Due:  January 16, 2007
Third Quarter
No releases issued.
Second Quarter
No releases issued.
First Quarter

SR-NFA-2006-01
34-53568 Mar. 29, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice to Compliance Rule 2-9
Comments Due:  April 25, 2006

SR-NFA-2005-02
34-53190 Jan. 30, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Amendment to NFA Compliance Rule 2-10 Regarding Recordkeeping
Comments Due:  February 27, 2006

File Number List

Release No. Date Details

SR-NFA-2006-05
34-54979 Dec. 20, 2006 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
Comments Due:  January 29, 2007

SR-NFA-2006-04
34-54980 Dec. 20, 2006 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
Comments Due:  January 29, 2007

SR-NFA-2006-03
34-54956 Dec. 18, 2006 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
Comments Due:  January 16, 2007

SR-NFA-2006-01
34-53568 Mar. 29, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice to Compliance Rule 2-9
Comments Due:  April 25, 2006

 

http://www.sec.gov/rules/sro/nfa/nfaarchive/nfaarchive2006.shtml


Modified: 10/16/2014