CTA - 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

 

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

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

March 13, 2020
I-20-12: Coronavirus Update—NFA Branch Office 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-20-05: 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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