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Regulation

What's New

5/22/2013
News Releases
NFA takes emergency enforcement action against California firm Light Tower Investments, Inc. and one of its principals, Klaus P. Weyers

5/22/2013
Rule Submission Letters
National Futures Association: FCM Internal Control Systems - Proposed Adoption of the Interpretive Notice to NFA Compliance Rule 2-9

5/22/2013
Rule Submission Letters
National Futures Association: Proposed Technical Amendment to NFA Registration Rule 101

5/20/2013
Notices to Members
Reporting Requirements for Memorial Day

5/1/2013
News Releases
NFA takes emergency enforcement action against Robert Juan Escobio, an associated person and principal of Southern Trust Securities, Inc., a futures firm located in Coral Gables, Florida

4/24/2013
Notices to Members
Effective Date of Amendments to NFA Compliance Rule 2-46: CPO and CTA Quarterly Reporting Requirements

4/23/2013
Notices to Members
Business Conduct Standards and Documentation Requirements for Swap Dealers and Major Swap Participants

4/19/2013
News Releases
National Futures Association, CFTC, AARP and Chicago Department of Family & Support Services co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week

4/10/2013
Notices to Members
Effective Date of Amendments to NFA Financial Requirements Section 1(a) - Adjusted Net Capital Requirement for FCMs Acting as a Counterparty to Forex Transactions with Eligible Contract Participants (ECPs)

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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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