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.

2024 | 2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | Show fewer years

 

December 31, 2013
I-13-46: New Notification and Report Filing Requirements Required under CFTC Final Rule on Enhancing Customer Protections Afforded Customers and Customer Funds Held by FCMs and DCOs

December 26, 2013
I-13-45: Reporting Requirements for New Year's Day and Reminder for 2014 Holidays

December 20, 2013
I-13-44: Important Notice Regarding Applicability of CFTC No-Action Letter 13-51 Regarding Consolidation of Pool Annual and Quarterly Reports by Pools and Wholly Owned Subsidiaries

December 19, 2013
I-13-43: FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies

December 19, 2013
I-13-42: Effective Date of NFA Compliance Rule 2-49: Swap Dealers and Major Swap Participants Regulations

December 18, 2013
I-13-41: Reporting Requirements for Christmas Day

December 13, 2013
I-13-40: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 10, 2013
I-13-39: Request for Public Director Nominations for NFA's Board of Directors

December 5, 2013
I-13-38: Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

November 21, 2013
I-13-37: Reporting Requirements for Thanksgiving Day

November 18, 2013
I-13-36: Important Request for CPOs that Operate Registered Investment Companies Utilizing Wholly Owned Subsidiaries (Known as Controlled Foreign Corporations)

November 15, 2013
I-13-35: NFA Announces Nominations Made by the 2013 Nominating Committee

November 4, 2013
I-13-34: Reporting Requirements for Veterans Day

October 24, 2013
I-13-33: Information regarding NFA's upcoming move to new office space in New York

October 23, 2013
I-13-32: Effective Date of Amendments to NFA Financial Requirements Sections 10 and 13 and NFA Compliance Rule 2-48: Increase in Fees for Late Financial and Regulatory Filings

October 11, 2013
I-13-31: Effective Date of New Business Continuity and Disaster Recovery Plan Reporting Requirements for FCMs and FDMs

October 9, 2013
I-13-30: Reporting Requirements for Columbus Day

October 1, 2013
I-13-29: U.S. Government Shutdown - CFTC DSIO Contacts

September 30, 2013
I-13-28: Filing Requirements for Exemptions Notices under CFTC's Recently Adopted Harmonization Rules

September 27, 2013
I-13-27: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2014 Regular Annual Meeting

September 26, 2013
I-13-26: Effective Date of Amendments to NFA Compliance Rule 2-45 and its Related Interpretive Notice

September 16, 2013
I-13-25: New Recordkeeping Requirements under NFA Compliance Rule 2-10(a) and CFTC Regulation 1.35(a) and Guidance for Relying on Other Commission Registrants for Complying with the New Recordkeeping Requirements

September 16, 2013
I-13-24: New Quarterly Filing Requirements for CTAs under NFA Compliance Rule 2-46 to Commence with Quarter Ending September 30, 2013

August 26, 2013
I-13-23: Reporting Requirements for Labor Day

August 16, 2013
I-13-22: CFTC Release: Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning

August 9, 2013
I-13-21: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants

July 12, 2013
I-13-20: NFA announces XML upload feature to file Pool Quarterly Reports (PQRs)

June 28, 2013
I-13-19: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants

June 27, 2013
I-13-18: Reporting Requirements for Independence Day

June 24, 2013
I-13-17: Portfolio Reconciliation and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

June 21, 2013
I-13-16: New Filing Requirements for FCMs that Act as a Counterparty to a Forex Transaction with an ECP

June 19, 2013
I-13-15: Implementation of Phase 2 - NFA Financial Requirements Section 4 - Segregated Account Balance Reporting by FCMs and DCOs

May 30, 2013
I-13-14: Effective Date of Amendments to NFA Financial Requirements Section 16 and the Related Interpretive Notice to Include Cleared Swaps Customer Collateral

May 20, 2013
I-13-13: Reporting Requirements for Memorial Day

April 24, 2013
I-13-12: Effective Date of Amendments to NFA Compliance Rule 2-46: CPO and CTA Quarterly Reporting Requirements

April 23, 2013
I-13-11: Business Conduct Standards and Documentation Requirements for Swap Dealers and Major Swap Participants

April 10, 2013
I-13-10: Effective Date of Amendments to NFA Financial Requirements Section 1(a) - Adjusted Net Capital Requirement for FCMs Acting as a Counterparty to Forex Transactions with Eligible Contract Participants (ECPs)

March 28, 2013
I-13-09: Reporting Requirements for Good Friday

March 26, 2013
I-13-08: FCM responsibilities for the review and approval of their Guaranteed Introducing Brokers' communications with the public

March 8, 2013
I-13-07: Chief Compliance Officer Requirements Become Effective for All FCMs on March 29, 2013

March 6, 2013
I-13-06: Information Regarding Governance, Dues and Assessments for Swap Dealers (SDs) and Major Swap Participants (MSPs)

January 30, 2013
I-13-05: Effective Date of Amendments to NFA Financial Requirements Section 4 Regarding Use of Technology to Monitor FCM Segregation Requirements

January 28, 2013
I-13-04: Request for Information: MANDATORY RESPONSE FROM CPOs OPERATING A POOL THAT IS A REGISTERED INVESTMENT COMPANY

January 23, 2013
I-13-03: Notice of Newly Elected Members to NFA's Board of Directors and 2013 Nominating Committee

January 22, 2013
I-13-02: Reminder: CFTC Regulation 4.27: CTA Reporting Requirements

January 15, 2013
I-13-01: Notice of Annual Meeting

Subscribe to NFA Email Communications