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What's New

Featured Information

2/26/2014 Arbitrator Update — February 2014

1/27/2014 January 2014 Investor Newsletter

Recent Changes

4/11/2014 Added Notice to Members: Information Regarding the "Heartbleed" Security Issue

4/10/2014 Added Enforcement and Registration Action: Southern Trust Securities, Inc. and Robert Juan Escobio

4/9/2014 Added SEC Rule Filing: Self-Regulatory Organizations; National Futures Association; Proposed change to Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs

4/9/2014 Added SEC Rule Filing: Self-Regulatory Organizations; National Futures Association; Proposed change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk disclosure Statement for Securities Futures Contracts

4/2/2014 Added Notice to Members: FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies

4/1/2014 Added Enforcement and Registration Action: Swenson Investments and Commodities, Inc., Mike Teslow and Andrew Wieting

4/1/2014 Added Enforcement and Registration Action: Ascona Management LLC and Andrew M. Keller

3/27/2014 Added News Release: National Futures Association, AARP and Chicago Department of Family & Support Services co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week

3/25/2014 Added CFTC Rule Submission: National Futures Association: Governance Structure - Proposed Amendments to NFA's Articles of Incorporation

3/6/2014 Added CFTC Rule Submission: National Futures Association: Late Disciplinary Disclosure Fees - Proposed Amendments to NFA Registration Rules 203 and 210

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