Compliance Rules. Part 1 - Definitions. RULE 1-1. DEFINITIONS. [Effective date Welcome to NFA's Rulebook. The essence of self-regulation involves identifying industry best practices in certain areas and then mandating those practices for Interpretive Notices. 9001 - RESERVED. 9002 - REGISTRATION (r) "NFA Requirements"-means NFA Bylaws, Compliance Rules, Registration
In addition to CME Group, the National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) have an extensive body of rules
31 Jan 2019 The Interpretive Notice relates to NFA Compliance Rule 2-9, which places a continuing responsibility on every futures commission merchant See www.nfa.futures.org Compliance/NFA's Rulebook/Interpretive. Notices: 9003 : NFA Compliance Rule 2-29: Communications with the Public and Promotional Both the Commodity Futures Trading Comission and the NFA host a variety of for futures or options contracts traded on or subject to the rules of an exchange" NFA is the industry wide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. nfa.futures.org Proposed Amendments to NFA Compliance Rule 2-29: Communications with the 24 Apr 2019 Currently, NFA registration rules require APs engaged in futures and foreign exchange activities to satisfy proficiency requirements, but there The Final Rule will help ensure the integrity of the swaps and the Commission is persuaded by Lovely and NFA that NFA's rules
NFA shall also send an invoice to each registered FCM, RFED, FTF, SD, MSP, IB, CPO, CTA, and LTM or confirmed as exempt from registration in accordance with paragraph (a)(5) of this Rule or pursuant to CFTC Regulation 30.10 requesting payment of the annual registration records maintenance fee set forth in Rule 203(a) and any other outstanding registration fees.
15 Jan 2020 COMMODITY FUTURES TRADING COMMISSION RULE 1.55(K) AND NFA ID of J.P. Morgan Securities LLC (0000815) and then click “Go”. [Note: for more on NFA Rule 2-9, please see NFA Social Media Compliance.] This entry was posted in Commodities and Futures and tagged Commodity of rule additions or amendments proposed by the NFA - which must be sent to the CFTC (CFTC), to "strengthen the regulation of futures tradi all agricultural
However, CFTC Regulation 40.4 specifies that certain categories of new rules and rule amendments affecting a term or condition of a futures contract on an enumerated agricultural commodity are deemed not to be material and thus do not require prior CFTC approval.
The Final Rule will help ensure the integrity of the swaps and the Commission is persuaded by Lovely and NFA that NFA's rules 25 Oct 2019 ML Pro is registered with the CFTC as an FCM and is a member of the National Futures Association. (“NFA”). ML Pro is also registered as a Commodity Futures Trading Commission Rule 1.55 business is conducted in compliance with current CFTC, NFA, as well as Exchange rules and regulations. (www.law.cornell.edu); National Futures Association (www.nfa.futures.org); Municipal Securities Rules Promulgated under the Securities Act of 1933 - § 230 18 Mar 2019 (“NFA”) submitted to the Commodity Futures Trading. Commission (the to NFA Bylaw 301 and NFA Compliance Rule 2-24 and an associated 25 Nov 2019 NFA's Swaps Proficiency Requirements must be successfully completed by individuals registered as associated persons (APs) at futures
11 Mar 2019 In another regulatory first, the National Futures Association (NFA) issued changes in SEF regulation in connection with CFTC proposed rules.
Welcome to NFA's Rulebook. The essence of self-regulation involves identifying industry best practices in certain areas and then mandating those practices for Interpretive Notices. 9001 - RESERVED. 9002 - REGISTRATION
RULE 2-36. REQUIREMENTS FOR FOREX TRANSACTIONS. [Adopted