National Futures Association Rulemaking
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 website.
Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
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34-97444 | May 5, 2023 | SR-NFA-2023-01 | National Futures Association | 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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34-84076 | Sep 11, 2018 | SR-NFA-2018-04 | National Futures Association | 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 |
34-83589 | Jul 3, 2018 | SR-NFA-2018-03 | National Futures Association | 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 |
34-83490 | Jun 21, 2018 | SR-NFA-2018-02 | National Futures Association | 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 |
34-83491 | Jun 21, 2018 | SR-NFA-2018-01 | National Futures Association | 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 |
34-76644 | Dec 15, 2015 | SR-NFA-2015-01 | National Futures Association | 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 |
34-72514 | Jul 2, 2014 | SR-NFA-2014-05 | National Futures Association | Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled "NFA Compliance Rule 2-9: Enhanced Supervisory Requirements" |
34-72498 | Jun 30, 2014 | SR-NFA-2014-04 | National Futures Association | 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 |
34-71976 | Apr 21, 2014 | SR-NFA-2014-01 | National Futures Association | 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 |
34-71980 | Apr 21, 2014 | SR-NFA-2014-02 | National Futures Association | 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" |