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 30, 2014
I-14-38: NFA's Chairman and Executive Committee respond to recent allegations of improprieties regarding the 2014 public director nominations

December 18, 2014
I-14-37: Reporting requirements for Christmas and New Year's Day: Reminder for 2015 holidays

December 12, 2014
I-14-36: Ballot Enclosed for Voting in NFA's Annual Election in the IB Category

December 12, 2014
I-14-35: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 3, 2014
I-14-34: Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

December 1, 2014
I-14-33: Effective Date of Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

December 1, 2014
I-14-32: Request for Public Director Nominations for NFA's Board of Directors

November 19, 2014
I-14-31: FINRA announces increase in examination fees for 2015

November 19, 2014
I-14-30: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

November 4, 2014
I-14-29: NFA announces nominations made by the 2014 Nominating Committee

November 3, 2014
I-14-28: NFA's BASIC System — Changes to Public Display of FCM Financial Information

October 31, 2014
I-14-27: All IB financial reports required to be filed electronically including IB annual certified FOCUS reports

October 1, 2014
I-14-26: Notice to CPOs regarding changes to the CPO Form PQR and an important compliance reminder to CPOs and CTAs to ensure that Forms PQR and PR and pool Annual Reports are filed in a timely manner

September 30, 2014
I-14-25: Effective Date of Amendments to NFA Financial Requirements Section 14 Regarding Use of Technology to Monitor FDM Forex Customer Liability Requirements

September 30, 2014
I-14-24: Risk Exposure Report Filing Requirements for Swap Dealers and Major Swap Participants

September 26, 2014
I-14-23: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2015 Regular Annual Meeting

September 17, 2014
I-14-22: FCM Filing Requirements — Risk Exposure Reports and CCO Annual Report

September 17, 2014
I-14-21: Reminder — NFA assessment fee reduction will become effective on October 1, 2014

August 22, 2014
I-14-20: New Risk Exposure Report filing requirement for swap dealers and major swap participants

August 18, 2014
I-14-19: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies and an advisory on promoting a culture of BSA/AML compliance

July 7, 2014
I-14-18: NFA assessment fee reduction will become effective on October 1, 2014

July 1, 2014
I-14-17: Chief Compliance Officer Departure: Obligations of Swap Dealers and Major Swap Participants

June 25, 2014
I-14-16: Diminutive notional value contracts

June 23, 2014
I-14-15: Important Notice to CPOs and CTAs summarizing the changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014

June 5, 2014
I-14-14: Proposed Amendments to NFA's Articles of Incorporation to Increase CPO/CTA Representation on NFA's Board of Directors

June 5, 2014
I-14-13: Important Notice to CPOs and CTAs regarding changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014.

May 28, 2014
I-14-12: NFA Board of Directors approves reduction in assessment fees

May 19, 2014
I-14-11: Late Disclosure Filing Fee

April 11, 2014
I-14-10: Information Regarding the "Heartbleed" Security Issue

April 2, 2014
I-14-09: FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies

February 27, 2014
I-14-08: Proposed Amendments to NFA's Articles of Incorporation for Changes to the Structure of NFA's Board of Directors and Executive Committee

February 12, 2014
I-14-07: Additional Reporting Requirements for Forex Dealer Members

February 12, 2014
I-14-06: Member Obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to CPOs/CTAs Exempt from Registration

January 30, 2014
I-14-05: Responses to Request for Comments on CPO/CTA Capital Requirement and Customer Protection Measures not Limited to CPO/CTA Members

January 27, 2014
I-14-04: CFTC Requests NFA Members to Provide NFA with Certain Information on Suspicious Activity Report Filings Upon NFA's Request

January 23, 2014
I-14-03: Request for Comments - CPO/CTA Capital Requirement and Customer Protection Measures-Comments Due by April 15, 2014

January 14, 2014
I-14-02: Notice of Annual Meeting

January 6, 2014
I-14-01: Additional Reporting Requirements for FCMs for which NFA is DSRO

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