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What's New

Featured Information

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

10/30/2014 Investor Newsletter - October 2014

10/7/2014 NFA systems not vulnerable to Shellshock

Recent Changes

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

10/31/2014 Added Notice to Members: All IB financial reports required to be filed electronically including IB annual certified FOCUS reports

10/30/2014 Added News Release: NFA orders California commodity pool operator Belvedere Asset Management LLC to permanently withdraw from NFA membership and sanctions its principal, Keith D. Pagan

10/28/2014 Added Enforcement and Registration Action: Leviathan Asset Management LLC

10/28/2014 Added Enforcement and Registration Action: Back Bay FX Services LLC and Paul C. Towne

10/28/2014 Added Enforcement and Registration Action: Boost Capital, Inc.

10/28/2014 Added Enforcement and Registration Action: Belvedere Asset Management LLC and Keith D. Pagan

10/28/2014 Added Enforcement and Registration Action: Roditi & Roditi LLC

10/24/2014 Added Enforcement and Registration Action: Success Bullion USA LLC and Chris Jann

10/22/2014 Added News Release: NFA takes emergency enforcement action against Orlando, Florida firm Emini Experts LLC and its principal, Dante Stephen Giovannetti

10/22/2014 Added Enforcement and Registration Action: Emini Experts LLC and Dante Stephen Giovannetti

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