FCM - Notices to Members

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

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

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

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

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