FCM - 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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November 01, 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 08, 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 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

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

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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