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National Futures Association Rulemaking

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Release Number SEC Issue Date Sort ascending 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)
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"