IB - 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.
2024 | 2023 | 2022 | 2021 | 2020 | Show more years
All Topics
AML
Coronavirus/COVID-19
Cybersecurity
Forex
Margin
Sales Practices and Promotional Material
SD Capital
Security Futures Products
Swaps Proficiency Requirements
Virtual Currency
 
All Membership Categories
CPO
CTA
FCM
FDM
IB
SD
November 5, 2018
I-18-22: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
September 26, 2018I-18-18: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
August 9, 2018I-18-13: Effective date of Interpretive Notice establishing disclosure requirements for NFA Members engaging in virtual currency activities
July 30, 2018I-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, 2018I-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, 2018I-18-10: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
May 3, 2018I-18-09: FCMs and IBs should review OFAC FAQs addressing virtual currency transactions
April 5, 2018I-18-08: Regulatory requirements reminder for CPO, CTA, FCM, FDM and IB Members
March 27, 2018I-18-07: Reminder to update annual questionnaire regarding virtual currencies
February 15, 2018I-18-04: FinCEN issues an Advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
January 9, 2018I-18-01: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration