Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration & Member Responsibility Actions

Part 171 Rules establish procedures and standards for Commission review of registered futures association procedures for membership and disciplinary actions; the reporting requirements are required by Section 17 of the Commodity Exchange Act and/or necessary to the type of appellate review role Congress intended the Commission to take.

The latest form for Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration & Member Responsibility Actions expires 2022-02-28 and can be found here.