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

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

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

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

November 04, 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 09, 2013
I-13-30: Reporting Requirements for Columbus Day

October 01, 2013
I-13-29: U.S. Government Shutdown - CFTC DSIO Contacts

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

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

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

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

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 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 08, 2013
I-13-07: Chief Compliance Officer Requirements Become Effective for All FCMs on March 29, 2013

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 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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