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Regulation

What's New

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

10/1/2014
Notices to Members
Notice to CPOs regarding changes to the CPO Form PQR and an important compliance reminder to CPOs and CTAs to ensure that Forms PQR and PR and pool Annual Reports are filed in a timely manner

9/30/2014
Notices to Members
Risk Exposure Report Filing Requirements for Swap Dealers and Major Swap Participants

9/30/2014
Notices to Members
Effective Date of Amendments to NFA Financial Requirements Section 14 Regarding Use of Technology to Monitor FDM Forex Customer Liability Requirements

9/26/2014
Notices to Members
Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2015 Regular Annual Meeting

9/17/2014
Notices to Members
Reminder — NFA assessment fee reduction will become effective on October 1, 2014

9/17/2014
Notices to Members
FCM Filing Requirements Risk Exposure Reports and CCO Annual Report

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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