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Regulation

What's New

9/17/2014
Notices to Members
Reminder — NFA assessment fee reduction will become effective on October 1, 2014

9/17/2014
Notices to Members
FCM Filing Requirements — Risk Exposure Reports and CCO Annual Report

9/2/2014
Rule Submission Letters
National Futures Association: Daily Confirmation of Funds Covering Liabilities to Retail Forex Customers — NFA Financial Requirements Section 14 Regarding Assets Covering Liabilities to Retail Forex Customers

9/2/2014
Rule Submission Letters
National Futures Association: Decrease in Membership Dues for Major Swap Participants — NFA Bylaw 1301 Regarding Schedule of Dues and Assessments

8/28/2014
Rule Submission Letters
National Futures Association: Electronic Filing of Introducing Broker Certified Focus Reports — NFA Financial Requirements Section 5 Regarding Introducing Broker Financial Requirements

8/27/2014
Rule Submission Letters
National Futures Association: Submission of Swap Dealer and Major Swap Participant Filings Through WinJammer™ — NFA Compliance Rule 2-49 Regarding Swap Dealers and Major Swap Participants Regulations

8/22/2014
Notices to Members
New Risk Exposure Report filing requirement for swap dealers and major swap participants

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

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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