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What's New

Featured Information

9/24/2014 NFA announces Member Regulatory Conference in Greenwich, Conn.

9/24/2014 NFA announces Member Regulatory Conference in New York, N.Y.

9/10/2014 CFTC eases marketing rules on private hedge funds

Recent Changes

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: Reminder — NFA assessment fee reduction will become effective on October 1, 2014

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

9/11/2014 Added Enforcement and Registration Action: Vincent Capital Group LLC and Ryan Litfin

9/5/2014 Added Enforcement and Registration Action: Ascona Management LLC and Andrew M. Keller

9/3/2014 Added Enforcement and Registration Action: Nextsource Trading Corporation and Stewart Reid Wilson

9/3/2014 Added Enforcement and Registration Action: Michael A. Plaia, d/b/a Comtrade Financial Company, Michael Angelo Plaia and Nikolas Robert Weber

9/3/2014 Added Enforcement and Registration Action: FXDirectDealer LLC and Joseph Botkier

9/3/2014 Added Enforcement and Registration Action: Boost Capital, Inc.

9/3/2014 Added Enforcement and Registration Action: Quantitative Trading Advisors LLC and Hatim Abdel Hamid Youssef

9/3/2014 Added Enforcement and Registration Action: Cambridge Strategy Asset Management, Ltd.

9/3/2014 Added Enforcement and Registration Action: Wealth Creation Investments LLC, Fox Financial Group LLC and Marcy Javor

9/2/2014 Added CFTC Rule Submission: National Futures Association: Decrease in Membership Dues for Major Swap Participants — NFA Bylaw 1301 Regarding Schedule of Dues and Assessments (Effective October 1, 2014)

9/2/2014 Added CFTC Rule Submission: National Futures Association: Daily Confirmation of Funds Covering Liabilities to Retail Forex Customers — NFA Financial Requirements Section 14 Regarding Assets Covering Liabilities to Retail Forex Customers (Effective October 15, 2014)

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 (Effective September 30, 2014)

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 (Effective September 30, 2014)

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

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