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What's New

Featured Information

7/29/2014 Investor Newsletter July 2014

6/6/2014 Archive of "NFA's Examination Approach for Swap Dealers and Major Swap Participants" audio conference

5/29/2014 NFA's Board approves a decrease to the FCM assessment fee

Recent Changes

8/28/2014 Added CFTC Rule Submission: National Futures Association: Electronic Filing of Introducing Broker Certified Focus Reports — NFA Financial Requirements Section 5 Regarding Introducing Broker Financial Requirements

8/27/2014 Added CFTC Rule Submission: National Futures Association: Submission of Swap Dealer and Major Swap Participant Filings Through WinJammer™ — NFA Compliance Rule 2-49 Regarding Swap Dealers and Major Swap Participants Regulations

8/22/2014 Added Notice to Members: New Risk Exposure Report filing requirement for swap dealers and major swap participants

8/18/2014 Added Notice to Members: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies and an advisory on promoting a culture of BSA/AML compliance

8/12/2014 Added News Release: NFA revokes registration of floor trader Joel W. Himel

8/8/2014 Added Enforcement and Registration Action: Joel W. Himel

7/31/2014 Added News Release: NFA takes emergency enforcement action against Connecticut firm Nord Capital Advisors LLC and its principal, Yakov Shlyapochnik

7/31/2014 Added Enforcement and Registration Action: Nord Capital Advisors and Yakov Shlyapochnik

7/29/2014 Added Enforcement and Registration Action: Institutional Liquidity LLC, Mark D. Krier, James D. Pieron and Jason L. Tanner

7/29/2014 Added News Release: NFA orders Michigan forex firm Institutional Liquidity LLC and three of the firm's principals to pay $225,000 fine; firm must permanently withdraw from membership

7/29/2014 Added Enforcement and Registration Action: Pan Asia Investment Group, Inc. and Xiao Peng Hu

7/18/2014 Added Enforcement and Registration Action: Forex Capital Markets LLC

7/18/2014 Added News Release: NFA fines New York firm Forex Capital Markets LLC $200,000 for conducting business with an unregistered entity and failing to submit trade data to NFA

7/18/2014 Added Enforcement and Registration Action: Forex Capital Markets LLC

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