News & Notices | National Futures Association

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 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | Show fewer years

 

December 29, 2016
I-16-32: Notice of Annual Meeting of NFA Members

December 19, 2016
I-16-31: Effective Date of Interpretive Notice to NFA Compliance Rule 2-46: Reporting Financial Information on NFA Forms PQR and PR

December 16, 2016
I-16-30: Reporting requirements for Christmas and New Year's Day: Reminder for 2017 holidays

December 01, 2016
I-16-29: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration

November 29, 2016
I-16-28: Request for Public Representative nominations for NFA's Board of Directors

November 28, 2016
I-16-27: Immediate attention required - Financial Requirement Section 12 - Changes in required minimum security deposits for forex transactions

November 16, 2016
I-16-26: NFA announces nominations made by the 2016 Nominating Committee

November 04, 2016
I-16-25: Immediate attention required - Financial Requirements Section 12 - Increase in required minimum security deposit for forex transactions

October 31, 2016
I-16-24: FinCEN issues an Advisory and Frequently Asked Questions to financial institutions on cyber-events and cyber-enabled crime

October 21, 2016
I-16-23: Access to NFA's website returns to normal

October 21, 2016
I-16-22: NFA's website affected by cyber attack on internet infrastructure provider that hosts a number of major websites

October 04, 2016
I-16-21: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2017 Regular Annual Meeting

September 27, 2016
I-16-20: Minor change to the CPO Form PQR and an important compliance reminder to CPOs and CTAs about late fees for NFA Forms PQR and PR

September 14, 2016
I-16-19: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

August 24, 2016
I-16-18: Designation of an Executive Representative for electronic voting purposes

August 12, 2016
I-16-17: FinCEN issues final rules requiring identification and verification of the beneficial owners of legal entity customers and ongoing customer due diligence requirements

June 21, 2016
I-16-16: Effective date of amendment to Compliance Rule 2-46: Late fee for NFA Forms PQR and PR filings

June 01, 2016
I-16-15: New SD/MSP Questionnaire due June 15

May 04, 2016
I-16-14: Submission process for risk-based initial margin models for uncleared swaps for certain SDs and MSPs

April 14, 2016
I-16-13: NFA approval process for risk-based initial margin models for uncleared swaps for certain SDs and MSPs

March 22, 2016
I-16-12: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

March 10, 2016
I-16-11: NFA to review and approve risk-based initial margin models for uncleared swaps for certain SDs and MSPs

February 29, 2016
I-16-10: Self-Examination Questionnaire—Cybersecurity

February 26, 2016
I-16-09: Reminder: CFTC authorizes NFA to receive notices of swap valuation disputes in excess of $20 million filed by swap dealers and major swap participants beginning March 1

February 11, 2016
I-16-08: Reminder: March 1 effective date of NFA Interpretive Notice regarding Information Systems Security Programs—Cybersecurity

February 02, 2016
I-16-07: CFTC authorizes NFA to receive notices of swap valuation disputes in excess of $20 million filed by swap dealers and major swap participants

January 28, 2016
I-16-06: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

January 20, 2016
I-16-05: Notice of newly elected members to NFA's Board of Directors

January 15, 2016
I-16-04: Notice of Annual Meeting

January 14, 2016
I-16-03: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 13, 2016
I-16-02: Enhancements to the CPO Form PQR

January 06, 2016
I-16-01: Revised SD and MSP 4s review process

Subscribe to NFA Email Communications