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Regulation

What's New

2/2/2016
Notices to Members
CFTC authorizes NFA to receive notices of swap valuation disputes in excess of $20 million filed by swap dealers and major swap participants

1/28/2016
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

1/25/2016
News Releases
NFA bars New York, N.Y. introducing broker CC Trading Company LLC from membership

1/20/2016
Notices to Members
Notice of newly elected members to NFA's Board of Directors

1/15/2016
Notices to Members
Notice of Annual Meeting

1/14/2016
Notices to Members
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

1/13/2016
Notices to Members
Enhancements to the CPO Form PQR

1/12/2016
Rule Submission Letters
National Futures Association: Bylaw Amendments regarding Electronic Voting, Other Technical Amendments, Formalizing the IB and Swap Participant Advisory Committees, and Repeal of Bylaw 503 regarding Removal of Directors

1/6/2016
Notices to Members
Revised SD and MSP 4s review process

1/4/2016
Rule Submission Letters
National Futures Association: Financial Requirements—NFA Financial Requirements 1 and 16 and its related Interpretive Notice to Conform to the CFTC's Enhancing Protections Afforded Customers and Customer Funds Held by FCMs and DCOs Rulemaking (Effective January 14, 2016)

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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