CPO - Notices to Members

View NFA Notices to Members—messages or reminders regarding compliance updates, NFA events, and other important news.

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December 27, 2019
I-19-34: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election

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

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 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 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

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