Notices to Members

December 22, 2020
I-20-48: Effective date for Interpretive Notice establishing SD supervision requirements over use of marketing materials

December 17, 2020
I-20-47: SD holiday filing requirements

December 17, 2020
I-20-46: FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays

December 8, 2020
I-20-45: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

December 4, 2020
I-20-44: CPO Members—Changes to the NFA Form PQR

December 1, 2020
I-20-43: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration

November 20, 2020
I-20-42: Request for Public Representative Nominations for NFA's Board of Directors

November 19, 2020
I-20-41: NFA's Exemptions System updated for persons seeking registration relief pursuant to CFTC Regulation 4.13

November 12, 2020
I-20-40: Effective date for amendments to Part 3 of NFA's Compliance Rules allowing virtual hearings

November 11, 2020
I-20-39: FCM and IB Members—FinCEN reissues and updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

November 10, 2020
I-20-38: NFA Announces Nominations Made by the 2020 Nominating Committee

October 6, 2020
I-20-37: Coronavirus Update—Expiration of Temporary Relief from Fingerprinting Requirements

October 6, 2020
I-20-36: Effective dates of amendments to NFA's Code of Arbitration and Member Arbitration Rules

October 1, 2020
I-20-35: Coronavirus Update—Relief from the On-Site Annual Inspection of Branch Offices and Guaranteed IBs

September 24, 2020
I-20-34: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2021 Regular Annual Meeting

September 17, 2020
I-20-33: NFA announces webinar to debut redesigned Annual Questionnaire

September 15, 2020
I-20-32: Coronavirus (COVID-19) Update—Extension to Certain Regulatory Relief for FCMs, RFEDs, IBs and SDs

August 20, 2020
I-20-31: FinCEN issues additional FAQs to address questions regarding customer due diligence requirements for covered financial institutions

August 17, 2020
I-20-30: Effective date of amendments to the risk disclosure statement for security futures contracts

July 20, 2020
I-20-29: Coronavirus (COVID-19) Update—Extension to Relief from Fingerprinting Requirements

July 20, 2020
I-20-28: FCM and IB Members—FinCEN reissues and updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

July 8, 2020
I-20-27: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

June 22, 2020
I-20-26: Effective date for NFA rule amendments related to NFA's penalties and other disciplinary procedures

June 16, 2020
I-20-25: Amendments to NFA Interpretive Notice 9045—Compliance Rule 2-9: FCM and IB Anti-Money Laundering Program now effective

June 12, 2020
I-20-24: Coronavirus (COVID-19) Update—Extension to Certain Regulatory Relief for FCMs, RFEDs, FDMs, IBs and SDs

June 2, 2020
I-20-23: Regulatory Reminder Regarding Obligations Guaranteed by FCMs, FDMs and IBs

June 2, 2020
I-20-22: Recent changes to NFA's Self-Examination Questionnaire

May 13, 2020
I-20-21: Increase in Fraudulent Phishing Emails Warrants Member Vigilance

April 27, 2020
I-20-20: Coronavirus (COVID-19) Update—Relief from Fingerprinting Requirements

April 23, 2020
I-20-19: Coronavirus (COVID-19) Update—Regulatory Relief for FCMs and IBs

April 22, 2020
I-20-18: CTA Members: Amendments to NFA Compliance Rule 2-29 and related Interpretive Notice now effective

April 8, 2020
I-20-17: FCM and IB Members—FinCEN issues a special notice in response to the COVID-19 pandemic and updates list of FATF-identified jurisdictions with AML/CFT deficiencies

March 26, 2020
I-20-16: Coronavirus (COVID-19) Update—Regulatory Relief for IBs

March 23, 2020
I-20-15: Coronavirus (COVID-19) Update—Regulatory Relief for CPOs and CTAs

March 20, 2020
I-20-14: Immediate attention required – Financial Requirements Section 12 – Increases in required minimum security deposits for forex transactions

March 18, 2020
I-20-13: Coronavirus (COVID-19) Update—Regulatory Relief

March 13, 2020
I-20-12: Coronavirus Update—NFA Branch Office Requirements

March 12, 2020
I-20-11: Information on CFTC Regulatory Reporting Requirements

March 4, 2020
I-20-10: Information on Coronavirus/COVID-19

March 2, 2020
I-20-09: Relief from CTA-PR filing requirement for CTAs that solely direct trading of pools for which the firm operates as a registered or exempt CPO

February 24, 2020
I-20-08: NFA's Board of Directors elects Maureen C. Downs to serve as Chair

February 10, 2020
I-20-07: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members

February 10, 2020
I-20-06: Educational resources, common deficiencies and other important regulatory information for SD Members

February 10, 2020
I-20-05: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

January 31, 2020
I-20-04: Effective date for NFA rule amendments related to discretionary customer accounts, customer information, risk disclosures and bunched orders

January 27, 2020
I-20-03: NFA's Swaps Proficiency Requirements now available online

January 15, 2020
I-20-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 7, 2020
I-20-01: NFA's Swaps Proficiency Requirements become effective January 31, 2020