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 20, 2007
I-07-48: Failure to Disclose Material Information on Registration Applications

December 18, 2007
I-07-47: New distribution policy for NFA Annual Review

December 7, 2007
I-07-46: Nominated Individuals to NFA's Board of Directors and 2008 Nominating Committee and Notice of Annual Meeting

December 4, 2007
I-07-45: NFA assessment fee reduction will become effective on January 1, 2008

November 14, 2007
I-07-44: NFA Announces Nominations Made by the 2007 Nominating Committee

November 7, 2007
I-07-43: Information regarding NFA's upcoming move to new office space

October 25, 2007
I-07-42: NFA proposes reduction in assessment fees

October 4, 2007
I-07-41: Effective Date of Amendments to NFA Compliance Rule 2-39

October 2, 2007
I-07-40: Effective Date of New Section 15 to NFA Financial Requirements and Related Amendments to the Interpretive Notice Entitled "Forex Transactions"

September 28, 2007
I-07-39: Effective Date of Amendments to NFA Financial Requirements Section 11 and the Interpretive Notice Entitled "Forex Transactions"

September 24, 2007
I-07-38: Regulatory Reminder: Associated Persons Registration Requirements

September 19, 2007
I-07-37: Effective Date of Amendments to Interpretive Notice to Compliance Rule 2-36(e) Regarding Supervision of the Use of Electronic Trading Systems

September 17, 2007
I-07-36: Amendments to NFA Code of Arbitration and Member Arbitration Rules

September 17, 2007
I-07-35: NFA's Board Adopts a New Interpretive Notice to Compliance Rule 2-4 Regarding Misuse of Trade Secrets and Proprietary Information

September 11, 2007
I-07-34: FinCEN Issues Final Rule Relating to Enhanced Due Diligence Requirements for Correspondent Accounts Maintained by Certain Foreign Banks

September 10, 2007
I-07-33: Board and Nominating Committee Members Whose Terms Will Expire at the 2008 Annual Election

August 28, 2007
I-07-32: Effective Date of Amendments to NFA Interpretive Notice Regarding Enhanced Supervisory Requirements

August 24, 2007
I-07-31: Proposed Amendments to NFA's Articles of Incorporation for Changes to NFA's Board of Directors

July 31, 2007
I-07-30: Request for Information

July 24, 2007
I-07-29: Effective Date of Forex Dues and Assessments: Amendments to NFA Bylaws 1301, 1302 and 1303 and the Interpretive Notice Regarding Forex Transactions

July 5, 2007
I-07-28: Request for Information

June 21, 2007
I-07-27: Amendments to NFA Code of Arbitration and Member Arbitration Rules

June 19, 2007
I-07-26: FinCEN Issues Guidance Regarding Suspicious Activity Report Supporting Documentation and Requests by Law Enforcement for Financial Institutions to Maintain an Account

May 24, 2007
I-07-25: Disclosure of Conflicts of Interest by CPOs and CTAs

May 15, 2007
I-07-24: Effective Date of Amendments to Financial Requirements Section 11 and the Related Interpretive Notice Regarding Forex Transactions

May 15, 2007
I-07-23: Effective Date of New Financial Requirements Section 14: Assets Covering Liabilities to Retail Forex Customers

May 14, 2007
I-07-22: Request for Information

May 10, 2007
I-07-21: Request for Information

April 25, 2007
I-07-20: CFTC and FinCEN Issue Guidance on CIP Requirements with Respect to Give-up Arrangements

April 16, 2007
I-07-19: Effective Date of New Interpretive Notice Governing Electronic Trading Systems Used for Forex Transactions

March 28, 2007
I-07-18: Effective Date of Interpretive Notice NFA Compliance Rule 2-4: Disclosure Guidelines for FCMs Offering Sweep Accounts

March 28, 2007
I-07-17: Effective Date of Amendment to NFA Compliance Rule 2-10: Recordkeeping

March 23, 2007
I-07-16: Effective Date of Amendments to the Interpretive Notice Regarding Forex Transactions

March 7, 2007
I-07-15: Effective Date of New Compliance Rule 2-40 Regarding the Bulk Assignment or Liquidation of Forex Positions

March 6, 2007
I-07-14: Effective Date of Amendments to Forex Requirements

March 1, 2007
I-07-13: 2007 Daylight Saving Time Changes

February 12, 2007
I-07-12: Annual Regulatory Reminder for Independent Introducing Brokers

February 12, 2007
I-07-11: Annual Regulatory Reminder for Guaranteed Introducing Brokers

February 12, 2007
I-07-10: Annual Regulatory Reminder for Commodity Trading Advisors

February 12, 2007
I-07-09: Annual Regulatory Reminder for Commodity Pool Operators

February 12, 2007
I-07-08: Annual Regulatory Reminder for Futures Commission Merchants

February 2, 2007
I-07-07: CFTC Amends Its Regulations to Require Notices of Exemption or Exclusion from Part 4 Requirements Be Filed Electronically with NFA

January 29, 2007
I-07-06: BaFin prohibits Goran Kuzmanovic a/k/a N.Y. Trading Services from conducting brokerage and portfolio management activity in Germany

January 26, 2007
I-07-05: Effective Date of New Alternative Capital Requirement for Forex Dealer Members

January 23, 2007
I-07-04: Notice of Annual Meeting and Notice of Nominated Individuals to NFA's Board of Directors and 2007 Nominating Committee

January 23, 2007
I-07-03: Filing Deadline for CPOs Who Did Not Operate a Commodity Pool in Calendar Year 2006

January 22, 2007
I-07-02: Request for Information

January 18, 2007
I-07-01: Request for Information

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