NFA's Logo
Home > Regulation > Regulation

Regulation

What's New

9/27/2016
Notices to Members
Minor change to the CPO Form PQR and an important compliance reminder to CPOs and CTAs about late fees for NFA Forms PQR and PR

9/20/2016
Comment Letters
RIN 3038-AE47: Commodity Pool Operator Annual Report

9/14/2016
Notices to Members
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

9/6/2016
Rule Submission Letters
National Futures Association: Collection of CPO/CTA Financial Information—NFA Compliance Rule 2-46 and NFA Interpretive Notice NFA Compliance Rule 2-46: Reporting Financial Information on NFA Forms PQR and PR

9/6/2016
Rule Submission Letters
National Futures Association: Proposed Technical Amendments to NFA Requirements to Conform to Definitions in Section 1a of the Commodity Exchange Act (Effective September 19, 2016)

8/24/2016
Notices to Members
Designation of an Executive Representative for electronic voting purposes

Featured Information 

NFA has produced several new Compliance podcasts and webcasts to help Members fulfill their regulatory responsibilities. Visit the Education and Training section of this website for additional details.

Special Messages  

Effective May 16, 2009, the minimum financial requirement for Forex Dealer Members (FDMs) is $20 million. For additional information on FDM financial requirements, click here.

 

Search for NFA Enforcement and Registration Actions

You can search for NFA Enforcement & Registration Actions.

Search

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

Begin Search

Search NFA Manual

You can search the NFA Manual by section, Rule number and/or keywords.

Search OR View the entire Manual.
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy