Home > Regulation > Regulation

Regulation

What's New

2/27/2015
News Releases
NFA permanently bars New York firm Chazon QTA Quantitative Trading Artists LLC and its principal, Lawrence I. Fejokwu

2/19/2015
News Releases
NFA's Board of Directors re-elects Christopher Hehmeyer to serve as Chairman

2/18/2015
Notices to Members
SD and MSP requirements – Annual Questionnaire and Business Continuity and Disaster Recovery Plan contact information

2/10/2015
Notices to Members
Important notice to CPOs regarding changes to EasyFile for filing annual pool financial statements

1/26/2015
Notices to Members
Extension of deadline for FCM CCO Annual Reports for fiscal years ending on or before Jan. 31, 2015

1/23/2015
Notices to Members
Notice of newly elected members to NFA's Board of Directors and 2015 Nominating Committee

1/23/2015
Notices to Members
Immediate attention required Financial Requirements Section 12 Additional increases in required minimum security deposit for forex transactions

1/23/2015
Notices to Members
Chief compliance officer report filing requirements for Swap Dealers and Major Swap Participants

1/21/2015
Notices to Members
Immediate attention required Financial Requirements Section 12 Increase in required minimum security deposit for forex transactions

1/20/2015
Notices to Members
Notice of Annual Meeting

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.

 

Search for NFA Enforcement and Registration Actions

You can search for NFA Enforcement & Registration Actions.

Search

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

Begin Search

Search NFA Manual

You can search the NFA Manual by section, Rule number and/or keywords.

Search OR View the entire Manual.
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy