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.

2021 | 2020 | 2019 | 2018 | 2017 | Show more years

 

June 03, 2021
I-21-18: Reminder: Disclosure and Reporting Requirements for NFA Members engaging in virtual currency activities

June 01, 2021
I-21-17: NFA warns of fraudulent phishing emails purporting to be from NFA

May 24, 2021
I-21-16: Effective date for NFA Member swap dealer and major swap participant dues increases

April 13, 2021
I-21-15: Effective date for NFA rules establishing CPO notice filing requirements

March 31, 2021
I-21-14: Effective date for NFA's swap dealer capital requirements

March 24, 2021
I-21-13: Effective date for Interpretive Notice regarding Members' use of third-party service providers

March 16, 2021
I-21-12: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

March 04, 2021
I-21-11: NFA provides important additional information on fraudulent phishing emails purporting to be from NFA

March 03, 2021
I-21-10: NFA warns of fraudulent phishing emails purporting to be from NFA

February 23, 2021
I-21-09: NFA's Board of Directors re-elects Maureen C. Downs to serve as Chair

February 08, 2021
I-21-08: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

February 08, 2021
I-21-07: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members

February 08, 2021
I-21-06: Educational resources, common deficiencies and other important regulatory information for SD Members

January 25, 2021
I-21-05: Coronavirus (COVID-19) Update—Limited Extension to Certain Relief for FCMs and IBs

January 25, 2021
I-21-04: Final Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

January 19, 2021
I-21-03: Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations

January 14, 2021
I-21-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 05, 2021
I-21-01: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

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