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.]

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 prohibits NFA members from conducting futures-related business with non-members that are required to be registered with the CFTC but have not …

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 – …

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 …

2023年4月28日 · What is NFA Bylaw 1101? NFA Bylaw 1101 prohibits NFA members from doing business with non-members that are required to be registered with the CFTC as an FCM, IB, …

2024年2月29日 · Members can review exemption information in two ways. Members can view individual persons or entities by navigating to NFA’s BASIC System, opening the person or …

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 …

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 …

2013年1月4日 · On December 27, National Futures Association issued guidance for NFA members carrying accounts, accepting orders or handling transactions from an introducing …