Markets

NFX Regulation

NASDAQ MarketWatch provides real-time surveillance for activity on the NFX Market to maintain an orderly marketplace and level playing field for investors and market participants.

Regulation

Rulebook 
Nasdaq Futures, Inc. Rulebook
Guidance Documents 
Futures Regulatory Alert - Audit Trail Requirements
Exchange Audit Trail FAQ
Summary Fines for Reporting Infractions
Daily Submission of Large Trader, Ownership/Control Reports ("OCR") & Open Interest Data
Daily Trade Submission Frequently Asked Questions
Disruptive Trading Practices Rule and FAQ
Disruptive Trading Practices Rule FAQ
Wash Trades Prohibited
Wash Trading FAQ
Pre-Arranged Transactions
Pre-Execution Communication
Position Limits 
Energy Products – See Appendix B in Rulebook
NFX Position Limit Exemption Application
NFX Henry Hub Conditional Position Limit Application
Risk Disclosure 
Security Futures Contracts
Clearly Erroneous Error Procedures 
Clearly Erroneous Error Procedures

CFTC Pending Certifications

SR-NFX-2019-25
SR-NFX-2019-26
Historical CFTC Filings 
Access historical filings here

Disciplinary Actions

Notice of Summary Disciplinary Proceedings – EOX Holding, LLC
NFX-Notice of Summary Disciplinary Proceedings – Evolution Markets Futures, LLC
Notice of Summary Disciplinary Proceedings – Freight Investor Services, Ltd
Notice of Summary Disciplinary Proceedings – MB Energy, LLC
Notice of Summary Disciplinary Proceedings – SSY Futures, Ltd
Notice of Summary Disciplinary Proceedings – TFS Energy Futures, LLC

Incentive Programs

Broker Incentive Program
NFX DMM Program Tender for Treasury Futures
NFX QLP Program
NFX Trading Incentive Program
NFX DMM Program Tender
Application of MiFID II/MiFIR provisions to Nasdaq Futures
NFX Ferrous DMM Program
System Status Alert
NFX News & Alerts Feed
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