Home > Regulation > Notices to Members

Notices to Members

2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996

Subscribe to our feed Follow NFA_News on Twitter
December 27, 2012
I-12-37: Member Obligations Under NFA Bylaw 1101 with Respect to Certain IBs Afforded Temporary Registration No-Action Relief

December 20, 2012
I-12-36: Daily Segregated, Secured 30.7, Sequestered and Forex Statements for Federal Holidays

December 19, 2012
I-12-35: Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to CPOs/CTAs Exempt from Registration Prior to December 31, 2012

December 19, 2012
I-12-34: Guidance on Obligations Under NFA Bylaw 1101 for Commodity Pool Operator Members Advising Pools that are Registered Investment Companies

December 19, 2012
I-12-33: Application of NFA Assessment Fee to Proprietary Trading Firms that May Be Subject to CPO Registration

December 14, 2012
I-12-32: Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

December 14, 2012
I-12-31: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 03, 2012
I-12-30: Guidance on the Annual Affirmation Requirement for those Entities that are currently operating under an exemption or exclusion from CPO or CTA registration

November 28, 2012
I-12-29: NFA Financial Requirements Section 16 - Additional Reporting Requirements Guidance

November 26, 2012
I-12-28: Request for Public Director Nominations for NFA's Board of Directors

November 13, 2012
I-12-27: Forex Dealer Member Reports Under Financial Requirements Section 13 - Late Fees

November 09, 2012
I-12-26: NFA Announces Nominations Made by the 2012 Nominating Committee

October 08, 2012
I-12-25: Board and Nominating Committee Members Whose Terms Will Expire at the 2013 Annual Election

October 03, 2012
I-12-24: Effective Dates of Amendments to NFA Bylaw 301 and Registration Rules 401 and 402 Regarding Swap Registration Requirements for FCMs, IBs, CPOs, CTAs and APs

October 01, 2012
I-12-23: NFA Financial Requirements Section 16 Reporting Requirements Guidance

September 14, 2012
I-12-22: NFA's BASIC System - Public Display of FCM Financial Information

September 14, 2012
I-12-21: Chief Compliance Officer Requirements Become Effective for Certain FCMs on October 1, 2012

September 06, 2012
I-12-20: NFA Makes Available to Persons Operating or Advising Pools Pursuant to an Exemption under 4.13(a)(4) an Option to Pre-File for Other CFTC Exemptions

August 31, 2012
I-12-19: Proposed Amendments to NFA's Articles of Incorporation to Integrate Swap Dealers and Major Swap Participants into NFA's Membership and Governance Structure

August 24, 2012
I-12-18: NFA Financial Requirements Section 16 - Required Notification of Certain Disbursements from Segregated/Secured Amount Funds and New Requirements Regarding Statement Submitters

August 10, 2012
I-12-17: Pre-Dispute Arbitration Agreements Involving Disputes Related to CFTC Part 165 Whistleblower Rules

July 26, 2012
I-12-16: Effective Date of Technical Amendments to NFA's Forex Requirements

July 20, 2012
I-12-15: Effective Date of NFA Interpretive Notice to NFA Bylaw 1301 Regarding the Assessment Fee for Diminutive Notional Contracts and Security Futures Products

July 18, 2012
I-12-14: Effective Date of NFA Financial Requirements Section 16 and the Related Interpretive Notice - FCM Financial Practices and Excess Segregated Funds/Secured Amount Disbursements

July 10, 2012
I-12-13: CPO Response Required

June 27, 2012
I-12-12: Guidance to Persons Operating or Advising Funds Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)

June 27, 2012
I-12-11: New Filing Requirements - Segregated Investment Detail Reports

June 25, 2012
I-12-10: Guidance to Members Carrying Accounts for, or Transacting Business with Persons Exempt from Registration

June 22, 2012
I-12-09: Guidance to NFA Member CPOs and CTAs that Operate or Advise Pools Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)

June 05, 2012
I-12-08: The Financial Crimes Enforcement Network (FinCEN) Requires Electronic Filing of SARs and CTRs

June 04, 2012
I-12-07: Compliance Date of CFTC Conflict of Interest Rules for FCMs and IBs Has Been Extended Until August 3, 2012

April 18, 2012
I-12-06: Effective Date of Interpretive Notice to NFA Compliance Rule 2-10 Regarding Allocation of Bunched Retail Forex Orders for Multiple Accounts

March 20, 2012
I-12-05: FINRA announces increase in examination fees

January 27, 2012
I-12-04: Frequently Asked Questions - Trading Program Performance Calculations and Presentation by CTAs with Client Assets held at MF Global, Inc.

January 26, 2012
I-12-03: Effective Date of NFA Interpretive Notice to NFA Compliance Rule 2-36 regarding Price Slippage and Price Requoting

January 25, 2012
I-12-02: Notice of Recently Elected Members to NFA's Board of Directors and 2012 Nominating Committee

January 13, 2012
I-12-01: Notice of Annual Meeting

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