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.

2019 | 2018 | 2017 | 2016 | 2015 | Show more years

 

October 16, 2019
I-19-21: Reminder: Dues surcharge for certain Member firms engaged in swaps activities effective January 1, 2020

October 11, 2019
I-19-20: NFA announces webinars for Swaps Proficiency Requirements Administrators

October 08, 2019
I-19-19: Effective Date for Updated Interpretive Notice Regarding the Supervision of Branch Offices and Guaranteed IBs

September 24, 2019
I-19-18: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2020 Regular Annual Meeting

September 12, 2019
I-19-17: NFA updates FAQs related to Swaps Proficiency Requirements

July 16, 2019
I-19-16: FCM and IB Members—FinCEN updates list of FATF-identified jurisdictions with AML/CFT deficiencies

June 20, 2019
I-19-15: Effective date of dues surcharge for certain Member firms engaged in swaps activities

June 12, 2019
I-19-14: Effective date for amendments to incorporate swaps supervision requirements and make technical changes to certain NFA Rules and Interpretive Notices

May 20, 2019
I-19-13: NFA's Board of Directors approves dues surcharge for certain Member firms engaged in swaps activities

May 08, 2019
I-19-12: Effective Date for Amendments to Incorporate Swaps into Certain Compliance Rules and Interpretive Notices

March 28, 2019
I-19-11: Reminder: Filing requirements for swap valuation dispute notices under NFA Compliance Rule 2-49 apply to all swap dealer Members

March 26, 2019
I-19-10: Reminder: April 1 effective date for NFA's Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

March 25, 2019
I-19-09: NFA Amends Rules and Adopts Interpretive Notice Implementing Swaps Proficiency Requirements

March 12, 2019
I-19-08: FCM and IB Members—FinCEN updates list of FATF-identified jurisdictions with AML/CFT deficiencies

March 11, 2019
I-19-07: Reminder: April 1 effective date for amendments to NFA's Interpretive Notice regarding Information Systems Security Programs—instructions for notifying NFA of applicable cybersecurity incidents

March 01, 2019
I-19-06: Regulatory requirements reminder for FCM, FDM and IB Members

March 01, 2019
I-19-05: Regulatory requirements reminder for CPO and CTA Members

February 25, 2019
I-19-04: NFA's Board of Directors re-elects Michael Dawley to serve as Chairman

January 31, 2019
I-19-03: NFA adopts Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

January 15, 2019
I-19-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 07, 2019
I-19-01: NFA Amends Interpretive Notice Regarding Information Systems Security Programs—Cybersecurity

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