Notice to Members (CTAs)

2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 1999 | 1997 | 1996

2013

• I-13-12: Effective Date of Amendments to NFA Compliance Rule 2-46: CPO and CTA Quarterly Reporting Requirements
• I-13-02: Reminder: CFTC Regulation 4.27: CTA Reporting Requirements

2012

• I-12-35: Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to CPOs/CTAs Exempt from Registration Prior to December 31, 2012
• I-12-34: Guidance on Obligations Under NFA Bylaw 1101 for Commodity Pool Operator Members Advising Pools that are Registered Investment Companies
• I-12-33: Application of NFA Assessment Fee to Proprietary Trading Firms that May Be Subject to CPO Registration
• I-12-31: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category
• I-12-30: Guidance on the Annual Affirmation Requirement for those Entities that are currently operating under an exemption or exclusion from CPO or CTA registration
• I-12-24: Effective Dates of Amendments to NFA Bylaw 301 and Registration Rules 401 and 402 Regarding Swap Registration Requirements for FCMs, IBs, CPOs, CTAs and APs
• I-12-12: Guidance to Persons Operating or Advising Funds Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)
• I-12-09: Guidance to NFA Member CPOs and CTAs that Operate or Advise Pools Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)
• I-12-06: Effective Date of Interpretive Notice to NFA Compliance Rule 2-10 Regarding Allocation of Bunched Retail Forex Orders for Multiple Accounts
• I-12-04: Frequently Asked Questions - Trading Program Performance Calculations and Presentation by CTAs with Client Assets held at MF Global, Inc.

2011

• I-11-09: Regulatory Reminder to Commodity Trading Advisors of Recordkeeping Requirements
• I-11-06: Annual Regulatory Reminder
• I-11-01: NFA provides guidance for disclosure of conflicts of interests arising from Typical Incentive Fee Arrangements by commodity pool operators and commodity trading advisors

2010

• I-10-12: NFA provides guidance for disclosure of business background information by commodity pool operators and commodity trading advisors
• I-10-03: Annual Regulatory Reminder for Commodity Trading Advisors

2009

• I-09-09: Using NFA's Electronic Disclosure Document Filing System becomes mandatory for CPOs and CTAs
• I-09-01: Annual Regulatory Reminder for Commodity Trading Advisors

2008

• I-08-17: Identification of Additions and Deletions in all Subsequent Versions of Disclosure Documents
• I-08-05: Annual Regulatory Reminder for Commodity Trading Advisors

2007

• I-07-25: Disclosure of Conflicts of Interest by CPOs and CTAs
• I-07-10: Annual Regulatory Reminder for Commodity Trading Advisors

2006

• I-06-03: Annual Regulatory Reminder for Commodity Trading Advisors

2005

• I-05-04: Annual Regulatory Reminder for Commodity Trading Advisors

2004

• I-04-06: Annual Regulatory Reminder for Commodity Trading Advisors
• I-04-02: Performance Reporting

2003

• I-03-09: Guidance for the Presentation of Performance Data and Disclosure for Commodity Trading Advisors
• I-03-02: NFA/CFTC Eliminate Duplicate Filing Requirements for CPOs and CTAs

1999

• I-99-03b: CPO/CTA DISCLOSURE DOCUMENTS: COMPLIANCE RULE 2-35 INTERPRETIVE NOTICE
• I-99-03a: COMPLIANCE RULES
• I-99-03: NFA Compliance Rule 2-35:Guidelines for Filing Two-Part Disclosure Documents for Commodity Pools

1997

• I-97-25: The Filing of Exclusion and Exemption Notices Pursuant to CFTC Regulations 4.5, 4.7, 4.12(b), 4.13, 4.14(a)(8), and Advisory 18-96.
• I-97-22: NFA Assumes the Responsibility for Reviewing Disclosure Documents for CTAs and privately offered commodity pools.
• I-97-15: Interpretive Notice Relating to the Allocation of Block Orders for Multiple Accounts

1996

• I-96-26: Amendments to NFA Compliance Rule 2-13
• I-96-22: Electronic Filing of Disclosure Documents
• I-96-20: Amendments to NFA Compliance Rule 2-29(c) and the Interpretive Notice Relating to the Use of Promotional Material Containing Hypothetical Performance Results
• I-96-07: NFA Expands CPO/CTA Regulatory Information