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 17, 2015
I-15-31: Reporting requirements for Christmas and New Year's Day: Reminder for 2016 holidays

December 10, 2015
I-15-30: Ballot Enclosed for Voting in NFA's Annual Election in the CPO/CTA Category

December 09, 2015
I-15-29: New Forex Reporting Requirements

December 07, 2015
I-15-28: Legal entity identifier now included in swap dealer/major swap participant registry

December 02, 2015
I-15-27: Request for Public Director Nominations for NFA's Board of Directors

December 01, 2015
I-15-26: Guidance on the annual affirmation requirement for entities currently operating under an exemption or exclusion from CPO or CTA registration

November 10, 2015
I-15-25: Notice to CPOs and CTAs addressing EasyFile logistics regarding CTA Form PR and CPO Form PQR

November 03, 2015
I-15-24: NFA announces nominations made by the 2015 Nominating Committee

October 23, 2015
I-15-23: NFA Adopts Interpretive Notice Regarding Information Systems Security Programs—Cybersecurity

September 23, 2015
I-15-22: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2016 Annual Meeting

September 01, 2015
I-15-21: Effective date of new Forex Dealer Member Requirements

August 07, 2015
I-15-20: Use of technology to monitor FDM forex customer liability requirements--NFA Financial Requirements Section 14 - Implementation of Phase 2

July 30, 2015
I-15-19: Relief from CTA-PR filing requirement for commodity trading advisors that DO NOT direct trading of commodity interest accounts

July 23, 2015
I-15-18: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

July 13, 2015
I-15-17: Important request for CPOs that operate commodity pools that are utilizing wholly-owned subsidiaries and wish to consolidate filings under CFTC Regulation 4.22 and/or 4.27

July 08, 2015
I-15-16: 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, 2015

May 29, 2015
I-15-15: Proposed amendments to NFA's Articles of Incorporation relating to NFA's Governance

May 13, 2015
I-15-14: Regulatory reminder: Accurate and current business contact information and email address

April 08, 2015
I-15-13: Bylaw 1101 guidance for pools which investment management authority has been delegated pursuant to CFTC No-Action Letters 14-69 and/or 14-126 and related BASIC display changes

March 18, 2015
I-15-12: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

March 05, 2015
I-15-11: Notice to Swap Dealers and Major Swap Participants regarding changes to NFA's EasyFile Registration Documentation Submission System

February 18, 2015
I-15-10: SD and MSP requirements – Annual Questionnaire and Business Continuity and Disaster Recovery Plan contact information

February 10, 2015
I-15-09: Important notice to CPOs regarding changes to EasyFile for filing annual pool financial statements

January 26, 2015
I-15-08: Extension of deadline for FCM CCO Annual Reports for fiscal years ending on or before Jan. 31, 2015

January 23, 2015
I-15-07: Immediate attention required - Financial Requirements Section 12 - Additional increases in required minimum security deposit for forex transactions

January 23, 2015
I-15-06: Notice of newly elected members to NFA's Board of Directors and 2015 Nominating Committee

January 23, 2015
I-15-05: Chief compliance officer report filing requirements for Swap Dealers and Major Swap Participants

January 21, 2015
I-15-04: Immediate attention required - Financial Requirements Section 12 - Increase in required minimum security deposit for forex transactions

January 20, 2015
I-15-03: Notice of Annual Meeting

January 15, 2015
I-15-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 05, 2015
I-15-01: Effective date of amendment to NFA Compliance Rule 2-4 to cover Member swap activities

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