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Regulation

What's New

5/15/2017
Comment Letters
RIN 3038—AD54: Capital Requirements of Swap Dealers and Major Swap Participants

5/4/2017
News Releases
NFA bars Pratik Patel, sole associated person of Houston, Texas, introducing broker Patel Futures LLC, from membership

5/2/2017
News Releases
NFA orders London, England commodity pool operator and commodity trading advisor Duet Asset Management Ltd. to pay a $1 million fine

4/10/2017
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

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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