SD - 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 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 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

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

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

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