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Name File Type Size Last Modified
4.13a4 - Exemption eliminated no longer available 4-9-14 NFA said on phone DOC
13 KB
Apr/10/2014
Accountant Bookkeeper Tax Preparer and Auditor Referrals From NFHLaw - 2-15-2011 DOC
44 KB
Feb/17/2011
Adopting Release 8-8-03 CFTC Exemptions - Regulatory Relief List foi030808a PDF
116 KB
Jun/05/2005
Alphmetrix Sued by Receivers - Article in Crains April 2014 PDF
327 KB
Apr/16/2014
Blue Sky Filing Chart Reg D 506(b) and 506(c) - Summary - Velocity Law - Nancy Fallon-Houle - As of 3-22-16 PDF
48 KB
Mar/21/2016
Business and Securities Lawyer Practice - Nancy Fallon-Houle P C - Short Description - 5-8-14 DOC
24 KB
May/08/2014
CFTC Final Rules for Regst. Relief to CPOs and CTAs 10-24-05 PDF
281 KB
Oct/24/2005
CFTC Release - Form PF PDF
1.14 MB
May/09/2012
CFTC Rule 4.27 Sidley Austin Article -2-14-12 PDF
214 KB
May/09/2012
CFTC Rule 4.27 Summary - Eliminate Private Fund Exemption, etc DOC
13 KB
May/03/2012
CPO Filing Fees, Registration, Etc. PDF
474 KB
Apr/07/2010
CPO and AP NFA Registration Requirements - 1-29-14 DOC
22 KB
Jan/29/2014
CPOs and CTAs - CFTC Staff Round Table 7-6-11 DOC
18 KB
Jul/08/2011
Compliance Seminar for FOrex IBs, CPOs and CTAs 6-8-11 Webinar DOC
14 KB
Jun/08/2011
Disclosure Document Rules NFA PDF
240 KB
Mar/01/2006
Disclousre Document Submission email address for CPOs and CTAs DOC
19 KB
Jul/11/2007
Exemption - De Minimis - 10% Futures or Less - Rule 4.12 PDF
19 KB
Oct/12/2010
FINRA - FINRA Entitlement Program PDF
477 KB
Apr/07/2010
Form PF Notes DOC
49 KB
May/09/2012
Form PF PDF
553 KB
May/09/2012
Form U10 PDF
33 KB
May/13/2010
Form7-R-entire NFA Template for Firm PDF
116 KB
Mar/11/2006
Form8-R-entire NFA Template for Individuals PDF
229 KB
Mar/11/2006
Futures Threshold Test DOC
38 KB
Apr/08/2010
Futures Trading Disclosure Rules - 1996 Revisions PDF
155 KB
Mar/01/2006
Guide to NFA Compliance Rule 2-29, Promotional Material PDF
213 KB
Jul/13/2007
IQS Futures Fund Offering Memorandum PDF
335 KB
Jun/26/2012
NFA - Procedure for Withdrawing a Non-Registrant Entity DOC
48 KB
Jan/10/2011
NFA 4 Key areas of online Fund Registratio to update quartlerly PDF
64 KB
Apr/30/2010
NFA Compliance Service - Kate Dressel PDF
42 KB
Jun/29/2011
NFA Disclosure Documents Guide for CPOs and CTAs PDF
188 KB
Jul/13/2007
NFA Easy File How to Set up Easy File Securite and give others access DOC
13 KB
Mar/11/2013
NFA Enrollment Process Information - 4-7-10 PDF
662 KB
Apr/07/2010
NFA Enrollment, Entitlement, Fund Filing DOC
93 KB
May/31/2012
NFA Enrollment, Entitlement, Registration 7R and 8R, Fund Filing DOC
94 KB
Jun/01/2012
NFA MembApp PDF
34 KB
Jan/31/2008
NFA New Rules Memo 6-22-12 regardind CPOs and CTAs PDF
26 KB
Sep/09/2012
NFA Payment Options to Open Entitlement Account DOC
26 KB
Feb/22/2006
NFA Pool Exemptions Chart - 11-23-10 PDF
19 KB
Nov/23/2010
NFA Registration Requirements for CTA, CPO and APs DOC
34 KB
Mar/11/2006
NFA Regulatory Requirements for FCM, IB, CPO and CTA PDF
230 KB
Jul/13/2007
NFA Requests Deleting CPO Exemptions - 2-9-11 - Morgan Lewis Law Flash DOC
25 KB
Apr/01/2011
NFA Risk Disclosure Statement for Security Futures Contracts PDF
90 KB
Jun/26/2012
NFA Self-Examination Checklist for FCM, IB, CPO and CTA PDF
278 KB
Jul/13/2007
NFA Webinar Link and info for CTA and CPO registrations 8-16-12 DOC
15 KB
Nov/07/2012
NFA Webinar about previously exempt pools PDF
11 KB
Dec/02/2012
NFA exemptions for CPOs and CTAs Rules 4.5, 4.7, 4.12, 4.13, 4.14(a)(8) - Rescinded 4.13(a)(4) PDF
83 KB
Jun/01/2012
NFA's 2013 Annual Review PDF
3.41 MB
Jan/21/2014
NFA-membership-and-dues PDF
83 KB
May/31/2012
NFA_RULE_2_46_webinarV4_9 [Read-Only]_824761 PDF
1.81 MB
Apr/30/2010
Online instruction process for NFA Registration PDF
43 KB
Apr/07/2010
Principals - Definition - NFA DOC
15 KB
May/31/2012
Principals Exemption corrected definition 11-17-10 - NFA PDF
30 KB
Nov/22/2010
Qualified Eligible Purchaser - for Rule 4.7 CFTC Exemption DOC
55 KB
Mar/24/2006
Rule 14.13(a)(3) Rescinded DOC
50 KB
Nov/23/2010
Rule 2-41 - Forex Pool Operators and Trading Advisors DOC
14 KB
Oct/24/2008
Rule 2-42 - Forex Pool Reporting DOC
11 KB
Oct/24/2008
Rule 4. 7 Exemption for QEP Fund DOC
61 KB
Jun/05/2005
Rule 4.12 Securities Pool Exemption DOC
28 KB
Jun/05/2005
Rule 4.12 DOC
125 KB
Apr/20/2012
Rule 4.13 Exemtions - Closely Held, Small Pool $400K, Deminimus 15 or less, and all QEP Pools DOC
38 KB
Jun/05/2005
Rule 4.13(a)(3) and (4) REPEALED and Rule 4.7 ACTIVE - Exemption Summary DOC
15 KB
Jul/30/2012
Rule 4.13 DOC
124 KB
Apr/20/2012
Rule 4.5 Exemption for Regulated Industry Fund DOC
29 KB
Jun/05/2005
Rule 4.8 Exemption - Reg D or 1933 Act exempt funds DOC
22 KB
Jun/05/2005
SEC Guidance on Use of Fund Names - 11-2013 PDF
51 KB
Nov/26/2013
SO-Series30 PDF
77 KB
Nov/14/2005
Securities and Futures Regulation and Exemptions - Private Futures Funds - 4-1-11 DOC
35 KB
Apr/01/2011
Security Manager Enrollment Form for Opening NFA Entitlement Account - First Time DOC
201 KB
Mar/24/2006
Series 31 as an alternative to Series 3 info from NFA DOC
26 KB
Mar/01/2006
Space Between Walls - Speech by Chilton of CFTC 5-2012 PDF
175 KB
May/03/2012
Study Outline Series Series 30 DOC
28 KB
Nov/14/2005
Withdrawing an Individual or Firm or Branch Office from the NFA DOC
49 KB
Feb/17/2011
part4 of CFTC Including Rule 4.7 QEP Exemption PDF
247 KB
Mar/21/2006

Contact Nancy Fallon-Houle at nfallon@velocitylaw.com or 630-963-0439 x22 (direct), or staff at 630-598-0400 (main)
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