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Regulation

What's New

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 Deadline—NFA 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

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

2/6/2017
News Releases
NFA bars New York retail foreign exchange dealer Forex Capital Markets, LLC and its principals Dror Niv, William Ahdout and Ornit Niv from membership

1/30/2017
Notices to Members
NFA's in-office registration kiosks will close May 1, 2017

1/20/2017
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

1/18/2017
Notices to Members
Chief compliance officer annual report filing requirements for futures commission merchants and swap dealers

1/11/2017
Notices to Members
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

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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