NFA Rules definition

NFA Rules means all applicable Regulations and Circulars issued by the “The National Futures Association (NFA) of the U.S” or “(NFA)” in the framework and context of the authority it has been granted under the Act, as they may be in force from time to time and modified or amended from time to time;
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Examples of NFA Rules in a sentence

  • Disclosure RequirementsEach Participant must comply with all disclosure requirements set forth in applicable CFTC and NFA Rules and Regulations.

  • Disclosure Document Information (Must be completed) Commodity Trading Advisors are required by CFTC Regulations and NFA Rules to furnish a disclosure document to customers, unless they have claimed an exemption from doing so.

  • Rule 409: Disclosure RequirementsEach Member must comply with all disclosure requirements set forth in these Rules and applicable CFTC and NFA Rules and Regulations.

  • Disclosure Requirements‌ Each Clearing Firm, Participant, and their Supervised Persons must comply with all disclosure requirements set forth in applicable CFTC and NFA Rules and regulations and any additional disclosure requirements imposed by these Rules.

  • Disclosure Requirements Each Participant must comply with all disclosure requirements set forth in applicable CFTC and NFA Rules and Regulations.

  • The NFA also concluded that Bedick’s misrepresentations violated NFA Bylaws 1101 and 301(b), which prohibit dealing with unregistered persons.The NFA’s Business Conduct Committee filed a complaint against Angus Jackson, Bedick, and Rose, alleging violations of NFA Rules 2-2(f) and 2-4, as well as other provisions.

  • Disclosure Requirements Each Clearing Firm, Participant, and their Supervised Persons must comply with all disclosure requirements set forth in applicable CFTC and NFA Rules and regulations and any additional disclosure requirements imposed by these Rules.

  • Applicable Law The term “Applicable Law” means, with respect to any Person, any statute, law, regulation, Rule or ordinance of any governmental authority applicable to such Person, including the CEA, CFTC Regulations, NFA Rules, and margin rules adopted by the Board of Governors of the Federal Reserve System.

  • NFA ProposalsNFA has adopted and submitted for Commission approval amendments to NFA Rules 301 and 302, governing TLs for APs and IBGs, as well as new NFARule 303 to govern TLs for FBs and FTs. NFA’s submission was made pursuant to Section 17(j) of the Act by letter dated August 25, 1997.

  • The performance calculations are required to be compiled in accordance with CFTC Regulations and NFA Rules.

Related to NFA Rules

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • JAMS Rules has the meaning assigned thereto in Section 13 hereof.

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • AAA Rules has the meaning set forth in Section 11.2.

  • House Rules means written and posted rules governing house activities in the AFH-DD. These rules may not conflict with the AFH Bill of Rights.

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • ICC Rules means the Rules of Arbitration of the International Chamber of Commerce in effect on the date the applicable arbitration proceeding begins.

  • Hague Rules means the International Convention for the Unification of certain Rules of Law relating to Bills of Lading signed at Brussels on 25 August 1924.

  • Market Rules means the rules made under section 32 of the Electricity Act;

  • Relevant Rules means, at any time, the laws, regulations, requirements, guidelines and policies relating to capital adequacy (including, without limitation, as to leverage) then in effect in the United Kingdom including, without limitation to the generality of the foregoing, as may be required by CRD IV or BRRD or any applicable successor legislation or any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and applicable to the Issuer from time to time and any regulations, requirements, guidelines and policies relating to capital adequacy adopted by the Relevant Regulator from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer or to the Issuer and any of its holding or subsidiary companies or any subsidiary of any such holding company).

  • Site Rules means all rules, regulations, directives and policies notified by the Company from time to time which are intended to be of general application to persons at a Site controlled or managed by the Company.

  • Applicable Rules means Section 10D of the Exchange Act, Rule 10D-1 promulgated thereunder, the listing rules of the national securities exchange or association on which the Company’s securities are listed, and any applicable rules, standards or other guidance adopted by the Securities and Exchange Commission or any national securities exchange or association on which the Company’s securities are listed.

  • School Rules means the body of rules of the School as may be amended from time to time for legal, safety or other substantive reasons, or in order to assist the proper administration of the School. A copy of the then current version of the rules is provided to each child on entry and is sent to parents with the Acceptance Form. Parents will be notified of subsequent changes to the rules;

  • ACH Rules means the NACHA Operating Rules and NACHA Operating Guidelines, as in effect from time to time.

  • IESO Market Rules means the rules made under section 32 of the Electricity Act, 1998 (Ontario), together with all market manuals, policies and guidelines issued by the IESO.

  • UNCITRAL Arbitration Rules means the arbitration rules of the United Nations Commission on International Trade Law.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • Scheme Rules means the applicable SEPA direct debit or credit transfer scheme rules of the European Payments Council as amended from time to time.