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Regulation

What's New

1/26/2015
Notices to Members
Extension of deadline for FCM CCO Annual Reports for fiscal years ending on or before Jan. 31, 2015

1/23/2015
Notices to Members
Chief compliance officer report filing requirements for Swap Dealers and Major Swap Participants

1/23/2015
Notices to Members
Notice of newly elected members to NFA's Board of Directors and 2015 Nominating Committee

1/23/2015
Notices to Members
Immediate attention required – Financial Requirements Section 12 – Additional increases in required minimum security deposit for forex transactions

1/21/2015
Notices to Members
Immediate attention required – Financial Requirements Section 12 – Increase in required minimum security deposit for forex transactions

1/20/2015
Notices to Members
Notice of Annual Meeting

1/15/2015
Notices to Members
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

1/13/2015
News Releases
NFA orders Lake Forest, Ill. firms Aspirant Management LLC and Luckow Group, Inc. to permanently withdraw from NFA membership and sanctions the firms' principal, Paul D. Luckow

1/13/2015
Comment Letters
RIN 3038-AE23: Records of Commodity Interest and Related Cash or Forward Transactions

1/12/2015
Comment Letters
RIN 3038-AE22: Residual Interest Deadline for Futures Commission Merchants

1/12/2015
News Releases
NFA orders Orlando, Fla. firm Diamond Head Capital LLC to permanently withdraw from NFA membership and fines eFloorTrade LLC, John A. Moore and Christopher T. Moore

1/5/2015
Notices to Members
Effective date of amendment to NFA Compliance Rule 2-4 to cover Member swap activities

12/30/2014
Notices to Members
NFA's Chairman and Executive Committee respond to recent allegations of improprieties regarding the 2014 public director nominations

12/22/2014
News Releases
NFA orders Las Vegas firm Wealthbuilder Capital Advisors and its principal, Courtney D. Smith, to permanently withdraw from NFA membership

12/18/2014
Notices to Members
Reporting requirements for Christmas and New Year's Day—Reminder for 2015 holidays

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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