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 15, 2011
I-11-24: Request for Public Director Nominations for NFA's Board of Directors

December 15, 2011
I-11-23: Ballot Enclosed for Voting in NFA's Annual Election

December 6, 2011
I-11-22: Effective Date of Amendments to the Interpretive Notice entitled NFA Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program

November 28, 2011
I-11-21: Effective Date of Amendments to NFA Bylaws 1301 and 1302 Regarding Forex Dues and Assessments and the Interpretive Notice entitled Forex Transactions

November 16, 2011
I-11-20: NFA Announces Nominations Made by the 2011 Nominating Committee

November 7, 2011
I-11-19: Treatment of Assets Held with MF Global, Inc. and Affiliated Entities

November 1, 2011
I-11-18: Proposed Guidance for CPOs with Pool Funds Held at MF Global, Inc.

October 31, 2011
I-11-17: Effective Date of Amendments to NFA Financial Requirements Section 13 and the Interpretive Notice entitled Forex Transactions

October 31, 2011
I-11-16: Effective Date of Amendments to NFA's Forex Requirements Regarding Supervision and Use of Electronic Trading Systems and Bulk Assignment and Liquidation of Forex Positions; Cessation of Customer Business

September 21, 2011
I-11-15: Board and Nominating Committee Members Whose Terms Will Expire at the 2012 Annual Election

August 16, 2011
I-11-14: Amendments to NFA's Forex Requirements Including NFA's Jurisdiction Over Members Engaging in Forex Activities

July 21, 2011
I-11-13: Regulatory Reminder to CPOs of Quarterly Reporting Requirements

July 15, 2011
I-11-12: Effective Date of an Amendment to Code of Arbitration Section 10(g) and Member Arbitration Rules Section 10(g)-Failure to Comply

June 20, 2011
I-11-11: Applicability of NFA's Assessment Fee to a Commodity Pool Operated by NFA CPO Members when the Pool is also an Exchange Member

June 17, 2011
I-11-10: CFTC Amends Its Regulations to Provide Certain Relief for Commodity Pool Operators of Commodity ETFs and Certain Independent Directors or Trustees of These Commodity Pools

June 9, 2011
I-11-09: Regulatory Reminder to Commodity Trading Advisors of Recordkeeping Requirements

April 13, 2011
I-11-08: Exchange of Documents in Arbitration Proceedings - Amendments to the Interpretive Notice entitled Standard List of Documents to be Exchanged Under Section 8 of NFA's Code of Arbitration

April 12, 2011
I-11-07: Recent Changes to NFA's Self-Examination Questionnaire and Interpretive Notice 9020 entitled Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires

February 3, 2011
I-11-06: Annual Regulatory Reminder

January 25, 2011
I-11-05: Calculation of Profitable and Not-profitable Accounts under CFTC Regulation 5.5

January 19, 2011
I-11-04: FinCEN Issues Final Rules Relating to the Confidentiality of Suspicious Activity Reports, Updated Guidance Regarding the Sharing of Suspicious Activity Reports with Affiliates, and an Advisory on Maintaining Suspicious Activity Report Confidentiality

January 18, 2011
I-11-03: Amendments to NFA Financial Requirements for Forex Dealer Members

January 10, 2011
I-11-02: Notice of Annual Meeting

January 5, 2011
I-11-01: NFA provides guidance for disclosure of conflicts of interests arising from Typical Incentive Fee Arrangements by commodity pool operators and commodity trading advisors

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