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Regulation

What's New

8/11/2015
News Releases
NFA bars Southampton, N.Y. firm Grace Financial Group LLC and its principal Christopher T. Bondy from membership

8/7/2015
Notices to Members
Use of technology to monitor FDM forex customer liability requirements--NFA Financial Requirements Section 14 - Implementation of Phase 2

7/30/2015
Notices to Members
Relief from CTA-PR filing requirement for commodity trading advisors that DO NOT direct trading of commodity interest accounts

7/30/2015
News Releases
NFA takes emergency enforcement action against commodity trading advisor Jonathan Parker

7/23/2015
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

7/16/2015
News Releases
NFA bars Boca Raton, Fla. firm Wealth Creation Investments LLC and Delray Beach, Fla. firm Fox Financial Group LLC from membership

7/13/2015
Notices to Members
Important request for CPOs that operate commodity pools that are utilizing wholly-owned subsidiaries and wish to consolidate filings under CFTC Regulation 4.22 and/or 4.27

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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