SD - 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 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 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 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 1, 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 9, 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 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 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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