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Regulation

What's New

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

12/12/2014
Notices to Members
Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

12/12/2014
Rule Submission Letters
National Futures Association: Prohibition of Loans by Commodity Pools to CPOs and Related Entities — Amendments to the Interpretive Notice to NFA Compliance Rule 2-45

12/12/2014
Notices to Members
Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

12/10/2014
News Releases
NFA fines New York firm FXDirectDealer LLC $500,000 for inadequate anti-money laundering program and failure to supervise

12/4/2014
News Releases
CFTC approves NFA's prohibition of credit cards to fund retail forex accounts

12/3/2014
Notices to Members
Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

12/1/2014
Rule Submission Letters
National Futures Association: Swaps Related Activities Proposed Amendment to NFA Compliance Rule 2-4 Regarding Just and Equitable Principles of Trade

12/1/2014
Notices to Members
Request for Public Director Nominations for NFA's Board of Directors

12/1/2014
Notices to Members
Effective Date of Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

12/1/2014
Rule Submission Letters
National Futures Association: Election Process for Board Representatives and Nominating Committee Members Technical Amendments to NFA Bylaw 406 Regarding Elections (Effective December 15, 2014)

11/19/2014
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

11/19/2014
Notices to Members
FINRA announces increase in examination fees for 2015

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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