National Futures Association Rulemaking
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Self-Regulatory Organization Rulemaking Table
File Number
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SRO Organization
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Details
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Release Number:34-97444 | SEC Issue Date:May 5, 2023 | File Number:SR-NFA-2023-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change to NFA Compliance Rule 2-9(c) and the Interpretive Notice Entitled "NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program" Comments Due: June 1, 2023 See Also - Exhibit 5(a)-(k) Submit a Comment on SR-NFA-2023-01
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Release Number:34-84076 | SEC Issue Date:Sep 11, 2018 | File Number:SR-NFA-2018-04 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts See Also - Exhibit 4 |
Release Number:34-83589 | SEC Issue Date:Jul 3, 2018 | File Number:SR-NFA-2018-03 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts |
Release Number:34-83491 | SEC Issue Date:Jun 21, 2018 | File Number:SR-NFA-2018-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA 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 |
Release Number:34-83490 | SEC Issue Date:Jun 21, 2018 | File Number:SR-NFA-2018-02 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members to Maintain a Record of All Electronic Written Communications |
Release Number:34-76644 | SEC Issue Date:Dec 15, 2015 | File Number:SR-NFA-2015-01 | SRO Organization:National Futures Association |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs |
Release Number:34-72514 | SEC Issue Date:Jul 2, 2014 | File Number:SR-NFA-2014-05 | SRO Organization:National Futures Association |
Details: Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled "NFA Compliance Rule 2-9: Enhanced Supervisory Requirements" |
Release Number:34-72498 | SEC Issue Date:Jun 30, 2014 | File Number:SR-NFA-2014-04 | SRO Organization:National Futures Association |
Details: 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 |
Release Number:34-71980 | SEC Issue Date:Apr 21, 2014 | File Number:SR-NFA-2014-02 | SRO Organization:National Futures Association |
Details: 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" |
Release Number:34-71976 | SEC Issue Date:Apr 21, 2014 | File Number:SR-NFA-2014-01 | SRO Organization:National Futures Association |
Details: 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 |