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Regulation

What's New

7/29/2014
News Releases
NFA orders Michigan forex firm Institutional Liquidity LLC and three of the firm's principals to pay $225,000 fine; firm must permanently withdraw from membership

7/18/2014
News Releases
NFA fines New York firm Forex Capital Markets LLC $200,000 for conducting business with an unregistered entity and failing to submit trade data to NFA

7/10/2014
Rule Submission Letters
National Futures Association: Composition of Board – Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors

7/7/2014
Notices to Members
NFA assessment fee reduction will become effective on October 1, 2014

7/1/2014
Notices to Members
Chief Compliance Officer Departure: Obligations of Swap Dealers and Major Swap Participants

6/25/2014
Notices to Members
Diminutive notional value contracts

6/23/2014
Notices to Members
Important Notice to CPOs and CTAs summarizing the changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014

6/23/2014
News Releases
NFA's Board approves prohibition of credit cards to fund retail forex accounts

6/20/2014
News Releases
NFA bars Connecticut futures commission merchant Vision Financial Markets LLC, Virginia commodity trading advisor Ace Investment Strategists LLC and its principal, Yu-Dee Chang from membership

6/18/2014
Rule Submission Letters
National Futures Association: Enhanced Supervisory Procedures Proposed Amendments to NFA's Interpretive Notice Entitled "Compliance Rule 2-9: Enhanced Supervisory Procedures" (Effective October 1, 2014)

6/18/2014
Rule Submission Letters
National Futures Association: Electronic Funding Mechanisms Adoption of the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

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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