News & Notices | National Futures Association

IB 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 27, 2012
I-12-37: Member Obligations Under NFA Bylaw 1101 with Respect to Certain IBs Afforded Temporary Registration No-Action Relief

December 19, 2012
I-12-35: Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to CPOs/CTAs Exempt from Registration Prior to December 31, 2012

December 19, 2012
I-12-34: Guidance on Obligations Under NFA Bylaw 1101 for Commodity Pool Operator Members Advising Pools that are Registered Investment Companies

December 19, 2012
I-12-33: Application of NFA Assessment Fee to Proprietary Trading Firms that May Be Subject to CPO Registration

December 14, 2012
I-12-32: Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

December 03, 2012
I-12-30: Guidance on the Annual Affirmation Requirement for those Entities that are currently operating under an exemption or exclusion from CPO or CTA registration

November 26, 2012
I-12-28: Request for Public Director Nominations for NFA's Board of Directors

November 09, 2012
I-12-26: NFA Announces Nominations Made by the 2012 Nominating Committee

October 08, 2012
I-12-25: Board and Nominating Committee Members Whose Terms Will Expire at the 2013 Annual Election

October 03, 2012
I-12-24: Effective Dates of Amendments to NFA Bylaw 301 and Registration Rules 401 and 402 Regarding Swap Registration Requirements for FCMs, IBs, CPOs, CTAs and APs

September 14, 2012
I-12-22: NFA's BASIC System - Public Display of FCM Financial Information

September 14, 2012
I-12-21: Chief Compliance Officer Requirements Become Effective for Certain FCMs on October 1, 2012

September 06, 2012
I-12-20: NFA Makes Available to Persons Operating or Advising Pools Pursuant to an Exemption under 4.13(a)(4) an Option to Pre-File for Other CFTC Exemptions

August 31, 2012
I-12-19: Proposed Amendments to NFA's Articles of Incorporation to Integrate Swap Dealers and Major Swap Participants into NFA's Membership and Governance Structure

August 10, 2012
I-12-17: Pre-Dispute Arbitration Agreements Involving Disputes Related to CFTC Part 165 Whistleblower Rules

July 26, 2012
I-12-16: Effective Date of Technical Amendments to NFA's Forex Requirements

July 20, 2012
I-12-15: Effective Date of NFA Interpretive Notice to NFA Bylaw 1301 Regarding the Assessment Fee for Diminutive Notional Contracts and Security Futures Products

June 25, 2012
I-12-10: Guidance to Members Carrying Accounts for, or Transacting Business with Persons Exempt from Registration

June 05, 2012
I-12-08: The Financial Crimes Enforcement Network (FinCEN) Requires Electronic Filing of SARs and CTRs

June 04, 2012
I-12-07: Compliance Date of CFTC Conflict of Interest Rules for FCMs and IBs Has Been Extended Until August 3, 2012

April 18, 2012
I-12-06: Effective Date of Interpretive Notice to NFA Compliance Rule 2-10 Regarding Allocation of Bunched Retail Forex Orders for Multiple Accounts

March 20, 2012
I-12-05: FINRA announces increase in examination fees

January 25, 2012
I-12-02: Notice of Recently Elected Members to NFA's Board of Directors and 2012 Nominating Committee

January 13, 2012
I-12-01: Notice of Annual Meeting

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