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10/30/2014 Investor Newsletter - October 2014

10/7/2014 NFA announces Member Regulatory Conference in London on November 6

10/7/2014 NFA systems not vulnerable to Shellshock

Recent Changes

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: Roditi & Roditi LLC

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

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

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

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

10/8/2014 Added Enforcement and Registration Action: IFG Markets LLC and Wilson Cheng

10/3/2014 Added Enforcement and Registration Action: Quantitative Trading Advisors LLC and Hatim Abdel Hamid Youssef

10/3/2014 Added Enforcement and Registration Action: Quick Trade Futures, Inc. and Jim Xu

10/1/2014 Added Notice to Members: Notice to CPOs regarding changes to the CPO Form PQR and an important compliance reminder to CPOs and CTAs to ensure that Forms PQR and PR and pool Annual Reports are filed in a timely manner

9/30/2014 Added Notice to Members: Risk Exposure Report Filing Requirements for Swap Dealers and Major Swap Participants

9/30/2014 Added Notice to Members: Effective Date of Amendments to NFA Financial Requirements Section 14 Regarding Use of Technology to Monitor FDM Forex Customer Liability Requirements

9/26/2014 Added Notice to Members: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2015 Regular Annual Meeting

9/17/2014 Added Notice to Members: FCM Filing Requirements — Risk Exposure Reports and CCO Annual Report

9/17/2014 Added Notice to Members: Reminder — NFA assessment fee reduction will become effective on October 1, 2014

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