JUNE 2006
June 15, 2006

Changes to Minimum Net Capital Requirements

JUNE 2003
June 1, 2003

NFA provides further guidance with respect to Ethics Training
MAY 2003
May 20, 2003

NFA Adopts Rule 2-38 pertaining to Written Business Continuity and Disaster Recovery Plans
APRIL 2003
April 28, 2003

NFA to charge a $200 per business day late fee for filing financial statements late
JULY 2002
July 25, 2002

Necessary Controls Needed over Automated Order-Routing Systems
July 30, 2002

Obtaining Customer Address Changes and Use of P.O. Boxes
APRIL 2002
April 23, 2002

NFA Adopts Amendment to NFA Compliance Rule 2-9 and a Related Interpretive Notice Requiring FCMs And IBs to Implement an Anti-Money Laundering Compliance Program
MARCH 2002
March 31, 2002

Financial Privacy Rules for the Futures Industry
OCTOBER 2001
October 23, 2001

Changes to the CFTC Ethics Training Requirements


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