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 File Number SRO Organization Details
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
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"
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