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Regulation

What's New

8/18/2014
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies and an advisory on promoting a culture of BSA/AML compliance

8/12/2014
News Releases
NFA revokes registration of floor trader Joel W. Himel

7/31/2014
News Releases
NFA takes emergency enforcement action against Connecticut firm Nord Capital Advisors LLC and its principal, Yakov Shlyapochnik

7/29/2014
News Releases
NFA orders Michigan forex firm Institutional Liquidity LLC and three of the firm's principals to pay $225,000 fine; firm must permanently withdraw from membership

7/18/2014
News Releases
NFA fines New York firm Forex Capital Markets LLC $200,000 for conducting business with an unregistered entity and failing to submit trade data to NFA

7/10/2014
Rule Submission Letters
National Futures Association: Composition of Board – Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors

7/7/2014
Notices to Members
NFA assessment fee reduction will become effective on October 1, 2014

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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