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 28, 2018
I-18-28: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election

December 20, 2018
I-18-27: SD holiday filing requirements

December 20, 2018
I-18-26: FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays

December 3, 2018
I-18-25: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration

November 16, 2018
I-18-24: Request for Public Representative nominations for NFA's Board of Directors

November 7, 2018
I-18-23: NFA announces nominations made by the 2018 Nominating Committee

November 5, 2018
I-18-22: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

October 11, 2018
I-18-21: Effective date of amendments to NFA Bylaw 1303—Default and deemed request to withdraw membership

October 4, 2018
I-18-20: Information for CPOs and CTAs—Avoiding financial ratio errors on NFA Forms PQR and PR

September 27, 2018
I-18-19: NFA partners with FIA to launch new training course—Safeguarding Customer Funds

September 26, 2018
I-18-18: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

September 24, 2018
I-18-17: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2019 Regular Annual Meeting

September 20, 2018
I-18-16: Immediate attention required – Financial Requirements Section 12 – Increases in required minimum security deposits for forex transactions

September 12, 2018
I-18-15: Effective date of amendments to the risk disclosure statement for security futures contracts

September 6, 2018
I-18-14: Information regarding NFA's review of swap valuation dispute submissions

August 9, 2018
I-18-13: Effective date of Interpretive Notice establishing disclosure requirements for NFA Members engaging in virtual currency activities

July 30, 2018
I-18-12: Effective date of amendments to NFA Compliance Rule 2-9(c) and the related Interpretive Notice entitled FCM and IB Anti-Money Laundering Program

May 22, 2018
I-18-11: FCMs and IBs that fail to comply with NFA's anti-money laundering program requirements may be subject to NFA disciplinary action

May 11, 2018
I-18-10: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

May 3, 2018
I-18-09: FCMs and IBs should review OFAC FAQs addressing virtual currency transactions

April 5, 2018
I-18-08: Regulatory requirements reminder for CPO, CTA, FCM, FDM and IB Members

March 27, 2018
I-18-07: Reminder to update annual questionnaire regarding virtual currencies

March 16, 2018
I-18-06: Updates to NFA swap dealer annual questionnaire

February 20, 2018
I-18-05: NFA's Board of Directors re-elects Michael Dawley to serve as Chairman

February 15, 2018
I-18-04: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

January 18, 2018
I-18-03: Additional questions for CPOs on the annual pool financial statement

January 11, 2018
I-18-02: Effective date of amendments to NFA Compliance Rule 2-36: Requirements for forex transactions and NFA Compliance Rule 2-43: Forex orders

January 9, 2018
I-18-01: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

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