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12/16/2014 "NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs" (Updated December 2014)

11/12/2014 Audio recordings available from the Chicago Member Regulatory Conference

Recent Changes

12/16/2014 Added : NFA Board Update—November 2014 Meeting

12/12/2014 Added Notice to Members: Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

12/12/2014 Added Notice to Members: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

12/12/2014 Added CFTC Rule Submission: National Futures Association: Prohibition of Loans by Commodity Pools to CPOs and Related Entities — Amendments to the Interpretive Notice to NFA Compliance Rule 2-45

12/10/2014 Added News Release: NFA fines New York firm FXDirectDealer LLC $500,000 for inadequate anti-money laundering program and failure to supervise

12/8/2014 Added Enforcement and Registration Action: Cambridge Strategy Asset Management, LTD.

12/8/2014 Added Enforcement and Registration Action: FXDirectDealer LLC and Joseph Botkier

12/4/2014 Added News Release: CFTC approves NFA's prohibition of credit cards to fund retail forex accounts

12/3/2014 Added Notice to Members: Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

12/1/2014 Added Notice to Members: Effective Date of Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

12/1/2014 Added CFTC Rule Submission: National Futures Association: Swaps Related Activities Proposed Amendment to NFA Compliance Rule 2-4 Regarding Just and Equitable Principles of Trade

12/1/2014 Added CFTC Rule Submission: National Futures Association: Election Process for Board Representatives and Nominating Committee Members Technical Amendments to NFA Bylaw 406 Regarding Elections (Effective December 15, 2014)

12/1/2014 Added Notice to Members: Request for Public Director Nominations for NFA's Board of Directors

11/19/2014 Added Notice to Members: FINRA announces increase in examination fees for 2015

11/19/2014 Added Notice to Members: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

11/18/2014 Added Enforcement and Registration Action: Nord Capital Advisors LLC and Yakov Shlyapochnik (MRA Decision)

11/12/2014 Added Speeches and Testimony: Prepared remarks of Daniel J. Roth, President and Chief Executive Officer, National Futures Association, at the International Seminar on Legislation of Futures Laws in Zhengzhou, China

11/4/2014 Added Notice to Members: NFA announces nominations made by the 2014 Nominating Committee

11/3/2014 Added Enforcement and Registration Action: Prime Algo Financial LLC and Yves S. Soete

11/3/2014 Added Notice to Members: NFA's BASIC System Changes to Public Display of FCM Financial Information

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