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FCM - Notices to Members

View NFA Notices to Members—messages or reminders regarding compliance updates, NFA events, and other important news.

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October 16, 2019
I-19-21: Reminder: Dues surcharge for certain Member firms engaged in swaps activities effective January 1, 2020

October 11, 2019
I-19-20: NFA announces webinars for Swaps Proficiency Requirements Administrators

October 08, 2019
I-19-19: Effective Date for Updated Interpretive Notice Regarding the Supervision of Branch Offices and Guaranteed IBs

September 12, 2019
I-19-17: NFA updates FAQs related to Swaps Proficiency Requirements

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

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

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