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 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 1, 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 4, 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 4, 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 1, 2016
I-16-15: New SD/MSP Questionnaire due June 15

May 4, 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 2, 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 6, 2016
I-16-01: Revised SD and MSP 4s review process

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