News & Notices | National Futures Association

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.

2017 | 2016 | 2015 | 2014 | 2013 | Show more years

 

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

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 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 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 09, 2013
I-13-21: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants

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

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

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

March 06, 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 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

Subscribe to NFA Email Communications