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3/24/2015 "Forex Transactions: A Regulatory Guide" (Updated March 2015)

Recent 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 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: Tina Mozhayski, d/b/a RF INTL

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

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: 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

3/17/2015 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 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

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

2/27/2015 Added Enforcement and Registration Action: Chazon QTA Quantitative Trading Artists LLC and Lawrence I. Fejokwu

2/27/2015 Added News Release: NFA permanently bars New York firm Chazon QTA Quantitative Trading Artists LLC and its principal, Lawrence I. Fejokwu

2/25/2015 Added : NFA Board Update—February 2015 Meeting

2/19/2015 Added News Release: NFA's Board of Directors re-elects Christopher Hehmeyer to serve as Chairman

2/18/2015 Added Notice to Members: SD and MSP requirements – Annual Questionnaire and Business Continuity and Disaster Recovery Plan contact information

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