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Product LoginFriday, May 18, 2012
Futures Regulatory Alert #2012 - 3
UPDATE: NFX Amends Rule 102, Qualification of Members
Markets Impacted:Contact Information:
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What you need to know:
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What is changing in regard to Rule 102, Qualification of Members?
Effective Friday, June 1, 2012, NFX will require members to comply with new qualification and registration requirements. NFX Rule 102 describes the various requirements which include:
- A member or member organization must be actively engaged in a futures business;
- A member or member organization must be a member of NFA or another designated contract market;
- A member or member organization must maintain a clearing account with an Exchange member or member organization, or must maintain an account directly with The Options Clearing Corporation;
- A member or member organization must provide notification of any known violation of NFX's Rules by a non-member customer of the member or member organization.
NFX Rule 102 was amended to adopt other provisions as well. NFX Rule 102 can be located here.
Where can I find additional information?
- Contact NASDAQ OMX Options and Futures Market Operations at +1 215 496 1571 for NFX customer support.
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About the NASDAQ OMX Group: The NASDAQ OMX Group, Inc. is the world's largest exchange company. It delivers trading, exchange technology and public company services across six continents, with more than 3,600 listed companies. NASDAQ OMX offers multiple capital raising solutions to companies around the globe, including its U.S. listings market, NASDAQ OMX Nordic, NASDAQ OMX Baltic, NASDAQ OMX First North, and the U.S. 144A sector. The company offers trading across multiple asset classes including equities, derivatives, debt, commodities, structured products and exchange-traded funds. NASDAQ OMX technology supports the operations of over 70 exchanges, clearing organizations and central securities depositories in more than 50 countries. NASDAQ OMX Nordic and NASDAQ OMX Baltic are not legal entities but describe the common offering from NASDAQ OMX exchanges in Helsinki, Copenhagen, Stockholm, Iceland, Tallinn, Riga, and Vilnius. For more information about NASDAQ OMX, visit www.nasdaqomx.com.
