
Rules | NFA
Doing Business with Non-Members. BYLAW 1101. PROHIBITION. [Effective dates of amendments: July 27, 1983; January 1, 1990; August 21, 2001; and August 1, 2016.]
NFA Bylaw 1101—Doing Business with Non-Members FAQs
Will my firm violate Bylaw 1101 if it accepts third party checks for deposit into a customer's account? It depends on the circumstances. For example, if you receive checks from several …
2016年4月14日 · NFA Bylaw 1101 • Bylaw 1101 adopted in 1981 • Prohibition included in NFA Articles of Incorporation – Article III, Section 1(f) • Doing Business With Non -Members – …
NFA Bylaw 1101 compliance | FIA
2016年4月14日 · NFA Bylaw 1101 prohibits NFA members from conducting futures-related business with non-members that are required to be registered with the CFTC but have not …
Bylaw 1101: how to determine if you may be doing business
2015年7月30日 · Bylaw 1101 prohibits NFA Members (“Members”) from conducting business with or on behalf of non-NFA Members. In this regard, NFA imposes strict liability on its Members …
NFA Bylaw 1101 provides, in pertinent part, that no Member may carry an account, accept an order or handle a transaction in commodity futures on behalf of any non-Member that is …
1101 prohibition by the NFA Appeals Committee. The complete text of Bylaw 1101 is available in the NFA’s online Manual/Rules on this webpage. In the Interpretive Notice, the NFA highlights …
Member obligations under NFA Bylaw 1101 and Compliance Rule …
2024年2月29日 · Alternatively, Members can access a spreadsheet that includes a list of all persons or entities that have exemptions on file with NFA that must be affirmed on an annual …
NFA Bylaw 1101 - National Introducing Brokers Association
2023年2月9日 · NFA bylaw 1101 prohibits IB members from accepting orders from a person or entity that is not an NFA member but is required to be an NFA member. This includes …
Rules | NFA
NFA Bylaw 1101 requires Members to make two determinations: whether it is doing business with an entity which is required to be registered, and if so, whether that person is a Member of …