Notice to Members (Forex)

2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005

2012

• I-12-36: Daily Segregated, Secured 30.7, Sequestered and Forex Statements for Federal Holidays
• I-12-27: Forex Dealer Member Reports Under Financial Requirements Section 13 - Late Fees
• I-12-16: Effective Date of Technical Amendments to NFA's Forex Requirements
• I-12-10: Guidance to Members Carrying Accounts for, or Transacting Business with Persons Exempt from Registration
• 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-12-01: Effective Date of NFA Interpretive Notice to NFA Compliance Rule 2-36 regarding Price Slippage and Price Requoting

2011

• I-11-21: Effective Date of Amendments to NFA Bylaws 1301 and 1302 Regarding Forex Dues and Assessments and the Interpretive Notice entitled Forex Transactions
• I-11-17: Effective Date of Amendments to NFA Financial Requirements Section 13 and the Interpretive Notice entitled Forex Transactions
• I-11-16: Effective Date of Amendments to NFA's Forex Requirements Regarding Supervision and Use of Electronic Trading Systems and Bulk Assignment and Liquidation of Forex Positions; Cessation of Customer Business
• I-11-14: Amendments to NFA's Forex Requirements Including NFA's Jurisdiction Over Members Engaging in Forex Activities
• I-11-07: Recent Changes to NFA's Self-Examination Questionnaire and Interpretive Notice 9020 entitled Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires
• I-11-03: Amendments to NFA Financial Requirements for Forex Dealer Members

2010

• I-10-30: Effective Date of NFA Compliance Rule 2-48 - Forex Dealer Member Trade Reporting System
• I-10-29: NFA assessment fee increase will become effective on January 1, 2011
• I-10-24: New Financial Reporting Requirements for NFA Forex Dealer Members
• I-10-22: NFA proposes increase in assessment fees
• I-10-21: NFA offers guidance on CFTC's final forex regulations
• I-10-17: NFA to begin accepting registration applications from forex firms and individuals on September 2
• I-10-14: Amendments to NFA Financial Requirements for Forex Dealer Members
• I-10-02: Reminder to all Members to complete new questions in Annual Questionnaire assessing Member's futures-related and off-exchange forex business

2009

• I-09-18: Effective Date of Amendments to NFA Financial Requirements Sections 11 and 12 and the Interpretive Notice Regarding Forex Transactions
• I-09-12: Revised Effective Date for Portions of NFA Compliance Rule 2-43(b)
• I-09-10: Effective Date of NFA Requirements Regarding Forex Orders
• I-09-07: Effective Date of NFA Forex Requirements

2008

• I-08-27: Net Capital Requirements for Forex Dealer Members
• I-08-20: Proposed Changes to Net Capital Requirements for Forex Dealer Members
• I-08-15: Supervision of Forex Promotional Materials: Effective Date of Amendments to the Interpretive Notice Regarding Forex Transactions
• I-08-13: Regulatory Reminder Regarding Assets Held Outside the United States
• I-08-12: Alternative Language for Customer Disclosure
• I-08-03: Effective Date of Amendments to the Interpretive Notice Regarding Forex Transactions

2007

• I-07-40: Effective Date of New Section 15 to NFA Financial Requirements and Related Amendments to the Interpretive Notice Entitled "Forex Transactions"
• I-07-39: Effective Date of Amendments to NFA Financial Requirements Section 11 and the Interpretive Notice Entitled "Forex Transactions"
• I-07-29: Effective Date of Forex Dues and Assessments: Amendments to NFA Bylaws 1301, 1302 and 1303 and the Interpretive Notice Regarding Forex Transactions
• I-07-24: Effective Date of Amendments to Financial Requirements Section 11 and the Related Interpretive Notice Regarding Forex Transactions
• I-07-23: Effective Date of New Financial Requirements Section 14: Assets Covering Liabilities to Retail Forex Customers
• I-07-19: Effective Date of New Interpretive Notice Governing Electronic Trading Systems Used for Forex Transactions
• I-07-16: Effective Date of Amendments to the Interpretive Notice Regarding Forex Transactions
• I-07-15: Effective Date of New Compliance Rule 2-40 Regarding the Bulk Assignment or Liquidation of Forex Positions
• I-07-14: Effective Date of Amendments to Forex Requirements
• I-07-05: Effective Date of New Alternative Capital Requirement for Forex Dealer Members

2006

• I-06-13: Forex Dealer Member Requirements for Weekly Forex Reports and Bankruptcy Disclosure
• I-06-09: Effective Date of Amendments to NFA Financial Requirements Sections 1, 5, and 11
• I-06-08: Change in Forex Member Dues

2005

• I-05-13: Effective Date of Amendments to NFA Forex Requirements