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Regulation

What's New

1/20/2017
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

1/18/2017
Notices to Members
Chief compliance officer annual report filing requirements for futures commission merchants and swap dealers

1/11/2017
Notices to Members
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

1/5/2017
Notices to Members
Effective date of amendment to NFA Compliance Rule 2-36: requirements for forex transactions

12/30/2016
News Releases
NFA permanently bars Eden Prairie, Minn., introducing broker Vincent Capital Group from membership

12/29/2016
Notices to Members
Notice of Annual Meeting of NFA Members

12/19/2016
Notices to Members
Effective Date of Interpretive Notice to NFA Compliance Rule 2-46: Reporting Financial Information on NFA Forms PQR and PR

12/16/2016
Notices to Members
Reporting requirements for Christmas and New Year's DayŚReminder for 2017 holidays

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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