News & Notices | National Futures Association

Notices to Members

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

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

December 04, 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 07, 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 04, 2007
I-07-41: Effective Date of Amendments to NFA Compliance Rule 2-39

October 02, 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 05, 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 07, 2007
I-07-15: Effective Date of New Compliance Rule 2-40 Regarding the Bulk Assignment or Liquidation of Forex Positions

March 06, 2007
I-07-14: Effective Date of Amendments to Forex Requirements

March 01, 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 02, 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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