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This document outlines the submission certification of an amended Services Agreement by NASDAQ Futures, Inc. (NFX) in compliance with the Commodity Exchange Act and regulations by the Commodity Futures Trading Commission. It details the obligations and rights of Futures Participants and Authorized Customers regarding access and use of the Exchange’s services, rules of trading, compliance principles, security measures, and provisions for audits, indemnities, and liabilities.

How to fill out rule self-certification

How to fill out rule self-certification

1. Gather necessary documentation and information regarding the rule requirements.
2. Review the specific self-certification form to understand all required sections.
3. Fill out personal or business identification information as requested.
4. Provide detailed information regarding compliance with each rule applicable to your situation.
5. Attach any supporting documents that demonstrate compliance.
6. Review the completed form for accuracy and completeness.
7. Sign and date the self-certification to validate your submission.
8. Submit the self-certification form to the appropriate authority as instructed.

Who needs rule self-certification?

1. Individuals or businesses seeking to demonstrate compliance with specific regulations.
2. Organizations required to certify adherence to industry standards or government rules.
3. Any entity that needs to validate their operational practices for inspections or audits.

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What is rule self-certification?

Rule self-certification is a process by which an entity confirms its compliance with specific regulations or standards without the need for external verification.

Who is required to file rule self-certification?

Typically, entities or organizations that are subject to certain regulations or rules established by governing bodies are required to file rule self-certification.

How to fill out rule self-certification?

To fill out rule self-certification, one must complete a designated form that includes relevant details about compliance, sign it, and submit it to the appropriate regulatory authority.

What is the purpose of rule self-certification?

The purpose of rule self-certification is to streamline compliance reporting and reduce the burden on regulatory bodies by allowing entities to verify their own adherence to established rules.

What information must be reported on rule self-certification?

Information typically required includes details of the regulations being complied with, evidence of compliance, and any relevant documentation or certifications.