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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

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

7/31/2014 Added News Release: NFA takes emergency enforcement action against Connecticut firm Nord Capital Advisors LLC and its principal, 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 Enforcement and Registration Action: Pan Asia Investment Group, Inc. and Xiao Peng Hu

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

7/18/2014 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

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

7/10/2014 Added CFTC Rule Submission: National Futures Association: Composition of Board – Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors

7/7/2014 Added Notice to Members: NFA assessment fee reduction will become effective on October 1, 2014

7/1/2014 Added Notice to Members: Chief Compliance Officer Departure: Obligations of Swap Dealers and Major Swap Participants

6/30/2014 Added Enforcement and Registration Action: IFG Markets LLC and Wilson Cheng

6/30/2014 Added Enforcement and Registration Action: Aspirant Management LLC, Luckow Group Inc., Paul D. Luckow

6/30/2014 Added Enforcement and Registration Action: The Barbashop LLC and Ronald T. Barba

6/30/2014 Added Enforcement and Registration Action: Global Futures Exchange and Trading Co. Inc. and Kattayoun Hakimian

6/30/2014 Added Enforcement and Registration Action: Quick Trade Futures Inc. and Jim Xu

6/30/2014 Added Enforcement and Registration Action: Belvedere Asset Management LLC and Keith D. Pagan

6/27/2014 Added Enforcement and Registration Action: Prime Algo Financial LLC and Yves S. Soete

6/25/2014 Added Notice to Members: Diminutive notional value contracts

6/23/2014 Added News Release: NFA's Board approves prohibition of credit cards to fund retail forex accounts

6/23/2014 Added Notice to Members: Important Notice to CPOs and CTAs summarizing the changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014

6/20/2014 Added Enforcement and Registration Action: Ace Investment Strategists LLC and Yu-Dee Chang

6/20/2014 Added Enforcement and Registration Action: Vision Financial Markets LLC, Steven M. Silver and Bruce Newman

6/20/2014 Added News Release: NFA bars Connecticut futures commission merchant Vision Financial Markets LLC, Virginia commodity trading advisor Ace Investment Strategists LLC and its principal, Yu-Dee Chang from membership

6/18/2014 Added CFTC Rule Submission: National Futures Association: Electronic Funding Mechanisms Adoption of the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

6/18/2014 Added CFTC Rule Submission: National Futures Association: Enhanced Supervisory Procedures Proposed Amendments to NFA's Interpretive Notice Entitled "Compliance Rule 2-9: Enhanced Supervisory Procedures" (Effective October 1, 2014)

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