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.

2019 | 2018 | 2017 | 2016 | 2015 | Show more years


May 20, 2019
I-19-13: NFA's Board of Directors approves dues surcharge for certain Member firms engaged in swaps activities

May 08, 2019
I-19-12: Effective Date for Amendments to Incorporate Swaps into Certain Compliance Rules and Interpretive Notices

March 28, 2019
I-19-11: Reminder: Filing requirements for swap valuation dispute notices under NFA Compliance Rule 2-49 apply to all swap dealer Members

March 26, 2019
I-19-10: Reminder: April 1 effective date for NFA's Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

March 25, 2019
I-19-09: NFA Amends Rules and Adopts Interpretive Notice Implementing Swaps Proficiency Requirements

March 12, 2019
I-19-08: FCM and IB Members—FinCEN updates list of FATF-identified jurisdictions with AML/CFT deficiencies

March 11, 2019
I-19-07: Reminder: April 1 effective date for amendments to NFA's Interpretive Notice regarding Information Systems Security Programs—instructions for notifying NFA of applicable cybersecurity incidents

March 01, 2019
I-19-06: Regulatory requirements reminder for FCM, FDM and IB Members

March 01, 2019
I-19-05: Regulatory requirements reminder for CPO and CTA Members

February 25, 2019
I-19-04: NFA's Board of Directors re-elects Michael Dawley to serve as Chairman

January 31, 2019
I-19-03: NFA adopts Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

January 15, 2019
I-19-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 07, 2019
I-19-01: NFA Amends Interpretive Notice Regarding Information Systems Security Programs—Cybersecurity

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