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.

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December 06, 2004
I-04-23: NFA develops questionnaires for writing anti-money laundering, business continuity, ethics training and privacy policies

November 30, 2004
I-04-22: Request for Public Director Nominations for NFA's Board of Directors

November 23, 2004
I-04-21: USA Patriot Act 314(a) Information Requests

November 11, 2004
I-04-20: NFA Announces 2004 Nominating Committee Recommendations

November 01, 2004
I-04-19: Request for Information

October 08, 2004
I-04-18: Harmonization of Customer Type Indicators

September 17, 2004
I-04-17: CFTC Changes Financial Filing and Notice Requirements for Independent IBs Effective September 30, 2004

September 17, 2004
I-04-16: CFTC Adopts Risk-Based Capital Requirement (Effective September 30, 2004)

September 16, 2004
I-04-15: Board and Nominating Committee Members Whose Terms Will Expire at the 2005 Annual Election

August 24, 2004
I-04-14: Guidelines for Using NFA Publications in Member Promotional Material

May 21, 2004
I-04-13: Reduction of Membership Dues and Assessment Fees

March 08, 2004
I-04-12: Members are Required to Comply with the FCC's National Do-Not-Call Rules

February 17, 2004
I-04-11: Request for Information

February 10, 2004
I-04-10: Request for Information

February 06, 2004
I-04-09: Annual Regulatory Reminder for Commodity Pool Operators

February 06, 2004
I-04-08: Annual Regulatory Reminder for Guaranteed Introducing Brokers

February 06, 2004
I-04-07: Annual Regulatory Reminder for Futures Commission Merchants

February 06, 2004
I-04-06: Annual Regulatory Reminder for Commodity Trading Advisors

February 06, 2004
I-04-05: Annual Regulatory Reminder for Independent Introducing Brokers

January 29, 2004
I-04-04: Eurex U.S. Trades Subject to NFA's Assessment Fee

January 22, 2004
I-04-03: Department of Treasury Issues Final Rule Requiring FCMs and IBs to File Suspicious Activity Reports

January 20, 2004
I-04-02: Performance Reporting

January 07, 2004
I-04-01: Notice of Annual Meeting and Notice of Nominated Individuals to NFA's Board of Directors and 2004 Nominating Committee

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