Notices to Members

View NFA Notices to Members—messages or reminders regarding compliance updates, NFA events, and other important news.

Use the filters below to view Notices based on date, Member category and/or topic.

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December 27, 2012
I-12-37: Member Obligations Under NFA Bylaw 1101 with Respect to Certain IBs Afforded Temporary Registration No-Action Relief

December 20, 2012
I-12-36: Daily Segregated, Secured 30.7, Sequestered and Forex Statements for Federal Holidays

December 19, 2012
I-12-35: Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to CPOs/CTAs Exempt from Registration Prior to December 31, 2012

December 19, 2012
I-12-34: Guidance on Obligations Under NFA Bylaw 1101 for Commodity Pool Operator Members Advising Pools that are Registered Investment Companies

December 19, 2012
I-12-33: Application of NFA Assessment Fee to Proprietary Trading Firms that May Be Subject to CPO Registration

December 14, 2012
I-12-32: Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

December 14, 2012
I-12-31: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 3, 2012
I-12-30: Guidance on the Annual Affirmation Requirement for those Entities that are currently operating under an exemption or exclusion from CPO or CTA registration

November 28, 2012
I-12-29: NFA Financial Requirements Section 16 - Additional Reporting Requirements Guidance

November 26, 2012
I-12-28: Request for Public Director Nominations for NFA's Board of Directors

November 13, 2012
I-12-27: Forex Dealer Member Reports Under Financial Requirements Section 13 - Late Fees

November 9, 2012
I-12-26: NFA Announces Nominations Made by the 2012 Nominating Committee

October 8, 2012
I-12-25: Board and Nominating Committee Members Whose Terms Will Expire at the 2013 Annual Election

October 3, 2012
I-12-24: Effective Dates of Amendments to NFA Bylaw 301 and Registration Rules 401 and 402 Regarding Swap Registration Requirements for FCMs, IBs, CPOs, CTAs and APs

October 1, 2012
I-12-23: NFA Financial Requirements Section 16 Reporting Requirements Guidance

September 14, 2012
I-12-22: NFA's BASIC System - Public Display of FCM Financial Information

September 14, 2012
I-12-21: Chief Compliance Officer Requirements Become Effective for Certain FCMs on October 1, 2012

September 6, 2012
I-12-20: NFA Makes Available to Persons Operating or Advising Pools Pursuant to an Exemption under 4.13(a)(4) an Option to Pre-File for Other CFTC Exemptions

August 31, 2012
I-12-19: Proposed Amendments to NFA's Articles of Incorporation to Integrate Swap Dealers and Major Swap Participants into NFA's Membership and Governance Structure

August 24, 2012
I-12-18: NFA Financial Requirements Section 16 - Required Notification of Certain Disbursements from Segregated/Secured Amount Funds and New Requirements Regarding Statement Submitters

August 10, 2012
I-12-17: Pre-Dispute Arbitration Agreements Involving Disputes Related to CFTC Part 165 Whistleblower Rules

July 26, 2012
I-12-16: Effective Date of Technical Amendments to NFA's Forex Requirements

July 20, 2012
I-12-15: Effective Date of NFA Interpretive Notice to NFA Bylaw 1301 Regarding the Assessment Fee for Diminutive Notional Contracts and Security Futures Products

July 18, 2012
I-12-14: Effective Date of NFA Financial Requirements Section 16 and the Related Interpretive Notice - FCM Financial Practices and Excess Segregated Funds/Secured Amount Disbursements

July 10, 2012
I-12-13: CPO Response Required

June 27, 2012
I-12-12: Guidance to Persons Operating or Advising Funds Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)

June 27, 2012
I-12-11: New Filing Requirements - Segregated Investment Detail Reports

June 25, 2012
I-12-10: Guidance to Members Carrying Accounts for, or Transacting Business with Persons Exempt from Registration

June 22, 2012
I-12-09: Guidance to NFA Member CPOs and CTAs that Operate or Advise Pools Pursuant to an Exemption under CFTC Regulation 4.13(a)(4)

June 5, 2012
I-12-08: The Financial Crimes Enforcement Network (FinCEN) Requires Electronic Filing of SARs and CTRs

June 4, 2012
I-12-07: Compliance Date of CFTC Conflict of Interest Rules for FCMs and IBs Has Been Extended Until August 3, 2012

April 18, 2012
I-12-06: Effective Date of Interpretive Notice to NFA Compliance Rule 2-10 Regarding Allocation of Bunched Retail Forex Orders for Multiple Accounts

March 20, 2012
I-12-05: FINRA announces increase in examination fees

January 27, 2012
I-12-04: Frequently Asked Questions - Trading Program Performance Calculations and Presentation by CTAs with Client Assets held at MF Global, Inc.

January 26, 2012
I-12-03: Effective Date of NFA Interpretive Notice to NFA Compliance Rule 2-36 regarding Price Slippage and Price Requoting

January 25, 2012
I-12-02: Notice of Recently Elected Members to NFA's Board of Directors and 2012 Nominating Committee

January 13, 2012
I-12-01: Notice of Annual Meeting

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