Proposed Technical Amendments to NFA Compliance Rule 2-29, Registration Rules 402, 503 and 504 and Interpretive Notices 9018 – Registration Rule 402: CPOs of Pools Trading Primarily in Securities and 9051 – NFA Compliance Rules 2-9 and 2-36: Ethics Training Requirements

  • Jason Mongiello
  • 1:59 am
  • NFA

These proposed technical amendments to NFA Compliance Rule 2-29, NFA Registration Rules 402, 403 and 504 and Interpretive Notices 9018 and 9051 replaces references to “the Director of Compliance,” “the Vice President of Registration” and “Vice President of Registration and Membership” with references to “NFA”.

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