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Notice Rule

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"

Securities Futures Associations, National Futures Association

Public Comments

Submit a Comment on SR-NFA-2023-01

Last Reviewed or Updated: June 6, 2023

Resources

Notice Rule: SEC Issued Version (pdf 186.77 KB)

Exhibit 5(a)-(k)

Details

Public Comments Due

June 1, 2023

File Number

SR-NFA-2023-01

Rule Type

Notice

Release Number

34-97444

SEC Issue Date

May 5, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

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"

Public Comments

Resources

Details

More in this Section

Breadcrumb

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"

Public Comments

Resources

Details