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Regulation

What's New

11/19/2014
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

11/19/2014
Notices to Members
FINRA announces increase in examination fees for 2015

11/4/2014
Notices to Members
NFA announces nominations made by the 2014 Nominating Committee

11/3/2014
Notices to Members
NFA's BASIC System Changes to Public Display of FCM Financial Information

10/31/2014
Notices to Members
All IB financial reports required to be filed electronically including IB annual certified FOCUS reports

10/30/2014
News Releases
NFA orders California commodity pool operator Belvedere Asset Management LLC to permanently withdraw from NFA membership and sanctions its principal, Keith D. Pagan

10/22/2014
News Releases
NFA takes emergency enforcement action against Orlando, Florida firm Emini Experts LLC and its principal, Dante Stephen Giovannetti

Featured Information 

NFA has produced several new Compliance podcasts and webcasts to help Members fulfill their regulatory responsibilities. Visit the Education and Training section of this website for additional details.

Special Messages  

Effective May 16, 2009, the minimum financial requirement for Forex Dealer Members (FDMs) is $20 million. For additional information on FDM financial requirements, click here.

 

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