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What's New

Featured Information

4/17/2015 Investor Newsletter - April 2015

4/15/2015 Arbitrator Training Opportunity

4/10/2015 "Disclosure Documents: A Guide for CPOs and CTAs" (Updated April 2015)

Recent Changes

4/16/2015 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

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm BLS AG Futures LLC and its principal, Brian L. Swords, to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm McVean Trading & Investments LLC and two of its principals, Charles Dow McVean Sr. and Llewellyn Hall, to pay $625,000 fine

4/14/2015 Added News Release: NFA takes emergency enforcement action against Houston, Texas firm RNS Holdings LP and its principal, Raja Michael Mawad

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm CDM Investment Management LLC and its principal, Charles Dow McVean Sr., to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm Wharton Asset Management LLC and its principal, Michael J. Wharton, to pay $105,000 fine

4/14/2015 Added Enforcement and Registration Action: RNS Holdings LP and Raja M. Mawad

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm Dow McVean Capital Management LLC and its principal, Charles Dow McVean, Jr., to pay $105,000 fine

4/14/2015 Added News Release: NFA orders Memphis, Tenn. firm K&M Trading, LLC and its principals, William Kaelin and John Morrissey, to pay $105,000 fine

4/13/2015 Added Enforcement and Registration Action: Wharton Asset Management LLC and Michael J. Wharton

4/13/2015 Added Enforcement and Registration Action: McVean Trading & Investments LLC, Charles Dow McVean, Sr. and Llewellyn Hall

4/13/2015 Added Enforcement and Registration Action: K&M Trading, LLC, William Kaelin and John S. Morrissey

4/13/2015 Added Enforcement and Registration Action: K&M Trading, LLC, William Kaelin and John S. Morrissey

4/13/2015 Added Enforcement and Registration Action: MB Duffy Capital Management LLC and Michael B. Duffy

4/13/2015 Added Enforcement and Registration Action: MB Duffy Capital Management LLC and Michael B. Duffy

4/13/2015 Added Enforcement and Registration Action: CDM Investment LLC and Charles Dow McVean, Sr.

4/13/2015 Added Enforcement and Registration Action: CDM Investment LLC and Charles Dow McVean, Sr.

4/13/2015 Added Enforcement and Registration Action: The Four L's Agricultural Trading Company LLC and David G. Lannin

4/13/2015 Added Enforcement and Registration Action: The Four L's Agricultural Trading Company LLC and David G. Lannin

4/13/2015 Added Enforcement and Registration Action: Wharton Asset Management LLC and Michael J. Wharton

4/13/2015 Added Enforcement and Registration Action: Dow McVean Capital Management LLC and Charles Dow McVean, Jr.

4/13/2015 Added Enforcement and Registration Action: Dow McVean Capital Management LLC and Charles Dow McVean, Jr.

4/13/2015 Added Enforcement and Registration Action: McVean Trading & Investments LLC, Charles Dow McVean, Sr. and Llewellyn Hall

4/13/2015 Added Enforcement and Registration Action: BLS AG Futures LLC and Brian L. Swords

4/13/2015 Added Enforcement and Registration Action: BLS AG Futures LLC and Brian L. Swords

4/9/2015 Added Enforcement and Registration Action: Michael A. Plaia, d/b/a Comtrade Financial Company, Michael Angelo Plaia and Nikolas Robert Weber

4/8/2015 Added Notice to Members: Bylaw 1101 guidance for pools which investment management authority has been delegated pursuant to CFTC No-Action Letters 14-69 and/or 14-126 and related BASIC display changes

3/25/2015 Added Speeches and Testimony: Testimony of Daniel J. Roth, President and Chief Executive Officer, National Futures Association, Before the Subcommittee on Commodity Exchanges, Energy and Credit of the Committee on Agriculture of the United States House of Representatives

3/19/2015 Added Enforcement and Registration Action: DMFiala LTD

3/18/2015 Added Notice to Members: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

3/18/2015 Added Enforcement and Registration Action: JP Morgan Clearing Corp.

3/18/2015 Added Enforcement and Registration Action: Chad Streifel

3/18/2015 Added Enforcement and Registration Action: UBS Financial Services, Inc.

3/18/2015 Added Enforcement and Registration Action: Andrew James Aronson

3/18/2015 Added Enforcement and Registration Action: UBS Financial Services, Inc.

3/18/2015 Added Enforcement and Registration Action: JP Morgan Clearing Corp.

3/18/2015 Added Enforcement and Registration Action: CC Trading Company LLC and Christopher J. Craddock

3/18/2015 Added Enforcement and Registration Action: Tina Mozhayski, d/b/a RF INTL

3/17/2015 Added Enforcement and Registration Action: Primary Assets Management Corporation, Accredited Investment Management Corp. and Peter G. Catranis

3/12/2015 Added Enforcement and Registration Action: Leviathan Asset Management

3/12/2015 Added Enforcement and Registration Action: Nextsource Trading Corporation and Stewart Reid Wilson

3/9/2015 Added Enforcement and Registration Action: Spartan Commodity Fund Management LLC and Alan J. Harry

3/9/2015 Added Enforcement and Registration Action: Washington Asset Advisors LLC and Lei Li

3/5/2015 Added Notice to Members: Notice to Swap Dealers and Major Swap Participants regarding changes to NFA's EasyFile Registration Documentation Submission System

3/5/2015 Added Enforcement and Registration Action: McElhannon Group, Inc. and Philip Mack Worley

3/5/2015 Added News Release: NFA takes emergency enforcement action against Burnet, Texas firm McElhannon Group, Inc. and its principal, Philip Mack Worley

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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