Effective date for amendments to lists of documents NFA may require parties to exchange in an arbitration - 26 June 2024

NFA amended NFA Interpretive Notice 9031—Standard List of Documents to be Exchanged under Section 8 of NFA's Code of Arbitration and NFA Interpretive Notice 9032—Standard List of Documents to be Exchanged under Section 7 of NFA's Member Arbitration Rules. The amendments update these lists to incorporate relevant documents and information related to new methods of communication and the widespread implementation of electronic trading.

The amendments are effective for all arbitration claims filed on or after July 1, 2024.

NFA's May 20, 2024, rule submission letter to the CFTC contains more detailed information regarding the amendments, which were unanimously approved by NFA's Board of Directors.

If you have any questions regarding the amendments, please contact Heather Cook, Manager, Arbitration (hcook@nfa.futures.org or 312-781-1481). 

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