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Regulation

What's New

3/20/2017
Comment Letters
RIN 3038—AD36: Recordkeeping

3/7/2017
Rule Submission Letters
National Futures Association: Proposed Amendments to NFA Financial Requirements Section 16 and its Related Interpretive Notice Entitled: FCM Financial Practices and Excess Segregated Funds/Secured Amount/Cleared Swaps Customer Collateral Disbursements

3/6/2017
News Releases
NFA bars Redding, Calif. commodity trading advisor Samico Worldwide Markets, Inc. and its principal Thomas Gasparini from membership

3/2/2017
News Releases
NFA bars Los Angeles, Calif. commodity trading advisor Nex Capital Management LLC and its principal, Jacob Wohl, from membership

2/23/2017
Notices to Members
CFTC amends Part 4 regulations regarding CPO financial reports

2/22/2017
Rule Submission Letters
National Futures Association: Forex Dealer Member Chief Compliance Officer Annual Report Filing DeadlineŚNFA Compliance Rule 2-36: Requirements for Forex Transactions

2/21/2017
Notices to Members
NFA's Board of Directors elects Michael Dawley to serve as Chairman

2/21/2017
Rule Submission Letters
National Futures Association: Proposed NFA Financial Requirements Section 17: Swap Dealer and Major Swap Participant Reporting Requirements (Effective March 21, 2017)

2/16/2017
News Releases
NFA Board appoints Carol Wooding as new General Counsel

2/8/2017
Notices to Members
Notice of members elected to NFA's Board of Directors and 2017 Nominating Committee

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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