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Notices to Members

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December 31, 2013
I-13-46: New Notification and Report Filing Requirements Required under CFTC Final Rule on Enhancing Customer Protections Afforded Customers and Customer Funds Held by FCMs and DCOs

December 26, 2013
I-13-45: Reporting Requirements for New Year's Day and Reminder for 2014 Holidays

December 20, 2013
I-13-44: Important Notice Regarding Applicability of CFTC No-Action Letter 13-51 Regarding Consolidation of Pool Annual and Quarterly Reports by Pools and Wholly Owned Subsidiaries

December 19, 2013
I-13-43: FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies

December 19, 2013
I-13-42: Effective Date of NFA Compliance Rule 2-49: Swap Dealers and Major Swap Participants Regulations

December 18, 2013
I-13-41: Reporting Requirements for Christmas Day

December 13, 2013
I-13-40: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 10, 2013
I-13-39: Request for Public Director Nominations for NFA's Board of Directors

December 05, 2013
I-13-38: Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

November 21, 2013
I-13-37: Reporting Requirements for Thanksgiving Day

November 18, 2013
I-13-36: Important Request for CPOs that Operate Registered Investment Companies Utilizing Wholly Owned Subsidiaries (Known as Controlled Foreign Corporations)

November 15, 2013
I-13-35: NFA Announces Nominations Made by the 2013 Nominating Committee

November 04, 2013
I-13-34: Reporting Requirements for Veterans Day

October 24, 2013
I-13-33: Information regarding NFA's upcoming move to new office space in New York

October 23, 2013
I-13-32: Effective Date of Amendments to NFA Financial Requirements Sections 10 and 13 and NFA Compliance Rule 2-48: Increase in Fees for Late Financial and Regulatory Filings

October 11, 2013
I-13-31: Effective Date of New Business Continuity and Disaster Recovery Plan Reporting Requirements for FCMs and FDMs

October 09, 2013
I-13-30: Reporting Requirements for Columbus Day

October 01, 2013
I-13-29: U.S. Government Shutdown - CFTC DSIO Contacts

September 30, 2013
I-13-28: Filing Requirements for Exemptions Notices under CFTC's Recently Adopted Harmonization Rules

September 27, 2013
I-13-27: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2014 Regular Annual Meeting

September 26, 2013
I-13-26: Effective Date of Amendments to NFA Compliance Rule 2-45 and its Related Interpretive Notice

September 16, 2013
I-13-25: New Recordkeeping Requirements under NFA Compliance Rule 2-10(a) and CFTC Regulation 1.35(a) and Guidance for Relying on Other Commission Registrants for Complying with the New Recordkeeping Requirements

September 16, 2013
I-13-24: New Quarterly Filing Requirements for CTAs under NFA Compliance Rule 2-46 to Commence with Quarter Ending September 30, 2013

August 26, 2013
I-13-23: Reporting Requirements for Labor Day

August 16, 2013
I-13-22: CFTC Release: Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning

August 09, 2013
I-13-21: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants

July 12, 2013
I-13-20: NFA announces XML upload feature to file Pool Quarterly Reports (PQRs)

June 28, 2013
I-13-19: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants

June 27, 2013
I-13-18: Reporting Requirements for Independence Day

June 24, 2013
I-13-17: Portfolio Reconciliation and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

June 21, 2013
I-13-16: New Filing Requirements for FCMs that Act as a Counterparty to a Forex Transaction with an ECP

June 19, 2013
I-13-15: Implementation of Phase 2 - NFA Financial Requirements Section 4 - Segregated Account Balance Reporting by FCMs and DCOs

May 30, 2013
I-13-14: Effective Date of Amendments to NFA Financial Requirements Section 16 and the Related Interpretive Notice to Include Cleared Swaps Customer Collateral

May 20, 2013
I-13-13: Reporting Requirements for Memorial Day

April 24, 2013
I-13-12: Effective Date of Amendments to NFA Compliance Rule 2-46: CPO and CTA Quarterly Reporting Requirements

April 23, 2013
I-13-11: Business Conduct Standards and Documentation Requirements for Swap Dealers and Major Swap Participants

April 10, 2013
I-13-10: 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)

March 28, 2013
I-13-09: Reporting Requirements for Good Friday

March 26, 2013
I-13-08: FCM responsibilities for the review and approval of their Guaranteed Introducing Brokers' communications with the public

March 08, 2013
I-13-07: Chief Compliance Officer Requirements Become Effective for All FCMs on March 29, 2013

March 06, 2013
I-13-06: Information Regarding Governance, Dues and Assessments for Swap Dealers (SDs) and Major Swap Participants (MSPs)

January 30, 2013
I-13-05: Effective Date of Amendments to NFA Financial Requirements Section 4 Regarding Use of Technology to Monitor FCM Segregation Requirements

January 28, 2013
I-13-04: Request for Information: MANDATORY RESPONSE FROM CPOs OPERATING A POOL THAT IS A REGISTERED INVESTMENT COMPANY

January 23, 2013
I-13-03: Notice of Newly Elected Members to NFA's Board of Directors and 2013 Nominating Committee

January 22, 2013
I-13-02: Reminder: CFTC Regulation 4.27: CTA Reporting Requirements

January 15, 2013
I-13-01: Notice of Annual Meeting

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