CPO - 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 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 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 05, 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 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

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

October 01, 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

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

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

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

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

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

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