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 19, 2006
I-06-21: Exemption Information Now Available on BASIC

December 13, 2006
I-06-20: Amended Interpretive Notice to Compliance Rule 2-9: FCM and IB Anti-Money Laundering Programs

December 5, 2006
I-06-19: Introducing Broker Certified Financial Statements to be Filed Electronically

November 27, 2006
I-06-18: Request for Public Director Nominations for NFA's Board of Directors

November 10, 2006
I-06-17: NFA Announces Nominations Made by the 2006 Nominating Committee

September 21, 2006
I-06-16: Request for Information

September 7, 2006
I-06-15: Board and Nominating Committee Members Whose Terms Will Expire at the 2007 Annual Election

August 8, 2006
I-06-14 REVISED: USA Patriot Act Special Due Diligence Program For Certain Foreign Accounts (Attention: Member FCMs and IBs)

August 1, 2006
I-06-13: Forex Dealer Member Requirements for Weekly Forex Reports and Bankruptcy Disclosure

June 5, 2006
I-06-12: 4.13 Filing Requirement

May 4, 2006
I-06-11: Request for Information

May 1, 2006
I-06-10: Amendments to NFA Code of Arbitration and Member Arbitration Rules

April 25, 2006
I-06-09: Effective Date of Amendments to NFA Financial Requirements Sections 1, 5, and 11

February 21, 2006
I-06-08: Change in Forex Member Dues

February 2, 2006
I-06-07: Annual Regulatory Reminder for Guaranteed Introducing Brokers

February 2, 2006
I-06-06: Annual Regulatory Reminder for Independent Introducing Brokers

February 2, 2006
I-06-05: Annual Regulatory Reminder for Commodity Pool Operators

February 2, 2006
I-06-04: Annual Regulatory Reminder for Futures Commission Merchants

February 2, 2006
I-06-03: Annual Regulatory Reminder for Commodity Trading Advisors

January 24, 2006
I-06-02: Effective Date of Amendments to NFA Compliance Rule 2-10: Recordkeeping

January 10, 2006
I-06-01: Effective Date of Amendments to NFA Interpretive Notice Regarding Enhanced Supervisory Requirements

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