Notices to Members
December 27, 2019
I-19-34: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election
December 20, 2019
I-19-33: FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays
December 20, 2019
I-19-32: SD holiday filing requirements
December 18, 2019
I-19-31: Effective Date for Amendments to NFA Requirements Related to CTA Performance Reporting and Disclosures
December 17, 2019
I-19-30: Effective Date for Amendments to NFA's Interpretive Notice: NFA Compliance Rule 2-13: Break-Even Analysis
December 2, 2019
I-19-29: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration
November 22, 2019
I-19-28: Request for Public Representative Nominations for NFA's Board of Directors
November 20, 2019
I-19-27: FCM and IB Members—FinCEN updates list of FATF-identified jurisdictions with AML/CFT deficiencies
November 15, 2019
I-19-26: Reminder: Dues surcharge for certain Member firms engaged in swaps activities effective January 1, 2020
November 13, 2019
I-19-25: Effective Date for Amendments to NFA's Promotional Material Rules and Interpretive Notices
November 12, 2019
I-19-24: NFA announces nominations made by the 2019 Nominating Committee
November 11, 2019
I-19-23: NFA announces webinar regarding Online Registration System updates
November 1, 2019
I-19-22: Designate an NFA Swaps Proficiency Requirements Administrator online
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 8, 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
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 1, 2019
I-19-06: Regulatory requirements reminder for FCM, FDM and IB Members
March 1, 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 7, 2019
I-19-01: NFA Amends Interpretive Notice Regarding Information Systems Security Programs—Cybersecurity