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.

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December 06, 2017
I-17-25: NFA assessment fee increase will become effective on January 1, 2018

December 01, 2017
I-17-24: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration

November 17, 2017
I-17-23: Request for Public Representative Nominations for NFA's Board of Directors

November 14, 2017
I-17-22: FINRA announces increase in proficiency examination fees for 2018

November 10, 2017
I-17-21: NFA announces nominations made by the 2017 Nominating Committee

October 20, 2017
I-17-20: NFA's Executive Committee recommends increase to NFA's assessment fee effective January 1, 2018

October 02, 2017
I-17-19: Filing instructions and webinar announcement regarding swap valuation dispute notices and monthly swap dealer risk data reports

September 21, 2017
I-17-18: Important notice regarding financial statement filings by independent IBs

September 20, 2017
I-17-17: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2018 Regular Annual Meeting

September 19, 2017
I-17-16: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

September 07, 2017
I-17-15: ORS: New Individual Application Process

July 24, 2017
I-17-14: Revised SD and MSP 4s Submission and Review Process

July 20, 2017
I-17-13: Effective date of Interpretive Notice to NFA Compliance Rule 2-49: Swap Valuation Dispute Filing Requirements

July 06, 2017
I-17-12: Reminder for CPOs and CTAs to report financial information on NFA Forms PQR and PR

June 30, 2017
I-17-11: Important request for CTAs using the CFTC's third-party recordkeeping relief

May 30, 2017
I-17-10: Monthly Risk Data Reporting Requirements for Swap Dealers

April 10, 2017
I-17-09: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

February 23, 2017
I-17-08: CFTC amends Part 4 regulations regarding CPO financial reports

February 21, 2017
I-17-07: NFA's Board of Directors elects Michael Dawley to serve as Chairman

February 08, 2017
I-17-06: Notice of members elected to NFA's Board of Directors and 2017 Nominating Committee

January 30, 2017
I-17-05: NFA's in-office registration kiosks will close May 1, 2017

January 20, 2017
I-17-04: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

January 18, 2017
I-17-03: Chief compliance officer annual report filing requirements for futures commission merchants and swap dealers

January 11, 2017
I-17-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 05, 2017
I-17-01: Effective date of amendment to NFA Compliance Rule 2-36: requirements for forex transactions

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