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5/12/2017 - May Member Regulatory Workshops Materials

4/20/2017 - Investor Newsletter - April 2017

4/4/2017 - Town Hall Webinar - Recording and Transcript

Recent News Center Updates

9/22/2017Enforcement and Registration Action: Sean M. Moore

9/21/2017 - Notice to Members: Important notice regarding financial statement filings by independent IBs

9/20/2017Enforcement and Registration Action: BCD Forex Investments LLC and Christopher Marsh

9/20/2017 - Notice to Members: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2018 Regular Annual Meeting

9/19/2017 - Notice to Members: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

9/14/2017 - News Release: NFA orders Chicago, Ill., introducing broker Kingsview Futures LLC to pay a $50,000 fine

9/12/2017Enforcement and Registration Action: Kingsview Futures LLC and Joshua Matthew Lewis

9/7/2017 - Notice to Members: ORS: New Individual Application Process

8/31/2017 - Board Update Video: NFA Board Update—August 2017 Meeting

8/30/2017 - CFTC Rule Submission: Proposed Technical Amendments to NFA Bylaw 301, Certain Registration Rules and Interpretive Notice Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934 (Effective September 15, 2017)

8/17/2017Enforcement and Registration Action: Samico Worldwide Markets LLC and Thomas Gasparini

8/14/2017Enforcement and Registration Action: Christian Robert Mayer

8/14/2017 - News Release: NFA bars Christian Robert Mayer, a former associated person, from membership

8/14/2017Enforcement and Registration Action: Christian Robert Mayer

8/10/2017Enforcement and Registration Action: Northstar Commodity Investment Co. LLC

8/10/2017Enforcement and Registration Action: Northstar Commodity Investment Co. LLC

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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