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.

2020 | 2019 | 2018 | 2017 | 2016 | Show more years

 

September 24, 2020
I-20-34: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2021 Regular Annual Meeting

September 17, 2020
I-20-33: NFA announces webinar to debut redesigned Annual Questionnaire

September 15, 2020
I-20-32: Coronavirus (COVID-19) Update—Extension to Certain Regulatory Relief for FCMs, RFEDs, IBs and SDs

August 20, 2020
I-20-31: FinCEN issues additional FAQs to address questions regarding customer due diligence requirements for covered financial institutions

August 17, 2020
I-20-30: Effective date of amendments to the risk disclosure statement for security futures contracts

July 20, 2020
I-20-29: Coronavirus (COVID-19) Update—Extension to Relief from Fingerprinting Requirements

July 20, 2020
I-20-28: FCM and IB Members—FinCEN reissues and updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

July 08, 2020
I-20-27: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

June 22, 2020
I-20-26: Effective date for NFA rule amendments related to NFA's penalties and other disciplinary procedures

June 16, 2020
I-20-25: Amendments to NFA Interpretive Notice 9045—Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program now effective

June 12, 2020
I-20-24: Coronavirus (COVID-19) Update—Extension to Certain Regulatory Relief for FCMs, RFEDs, FDMs, IBs and SDs

June 02, 2020
I-20-23: Regulatory Reminder Regarding Obligations Guaranteed by FCMs, FDMs and IBs

June 02, 2020
I-20-22: Recent changes to NFA's Self-Examination Questionnaire

May 13, 2020
I-20-21: Increase in Fraudulent Phishing Emails Warrants Member Vigilance

April 27, 2020
I-20-20: Coronavirus (COVID-19) Update—Relief from Fingerprinting Requirements

April 23, 2020
I-20-19: Coronavirus (COVID-19) Update—Regulatory Relief for FCMs and IBs

April 22, 2020
I-20-18: CTA Members: Amendments to NFA Compliance Rule 2-29 and related Interpretive Notice now effective

April 08, 2020
I-20-17: FCM and IB Members—FinCEN issues a special notice in response to the COVID-19 pandemic and updates list of FATF-identified jurisdictions with AML/CFT deficiencies

March 26, 2020
I-20-16: Coronavirus (COVID-19) Update—Regulatory Relief for IBs

March 23, 2020
I-20-15: Coronavirus (COVID-19) Update—Regulatory Relief for CPOs and CTAs

March 20, 2020
I-20-14: Immediate attention required – Financial Requirements Section 12 – Increases in required minimum security deposits for forex transactions

March 18, 2020
I-20-13: Coronavirus (COVID-19) Update—Regulatory Relief

March 13, 2020
I-20-12: Coronavirus Update—NFA Branch Office Requirements

March 12, 2020
I-20-11: Information on CFTC Regulatory Reporting Requirements

March 04, 2020
I-20-10: Information on Coronavirus/COVID-19

March 02, 2020
I-20-09: Relief from CTA-PR filing requirement for CTAs that solely direct trading of pools for which the firm operates as a registered or exempt CPO

February 24, 2020
I-20-08: NFA's Board of Directors elects Maureen C. Downs to serve as Chair

February 10, 2020
I-20-07: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members

February 10, 2020
I-20-06: Educational resources, common deficiencies and other important regulatory information for SD Members

February 10, 2020
I-20-05: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

January 31, 2020
I-20-04: Effective date for NFA rule amendments related to discretionary customer accounts, customer information, risk disclosures and bunched orders

January 27, 2020
I-20-03: NFA's Swaps Proficiency Requirements now available online

January 15, 2020
I-20-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 07, 2020
I-20-01: NFA's Swaps Proficiency Requirements become effective January 31, 2020

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