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.

2020 | 2019 | 2018 | 2017 | 2016 | Show more years


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 02, 2020
I-20-23: Regulatory Reminder Regarding Obligations Guaranteed by FCMs, FDMs and IBs

June 02, 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 08, 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 18, 2020
I-20-13: Coronavirus (COVID-19) Update—Regulatory Relief

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

March 04, 2020
I-20-10: Information on Coronavirus/COVID-19

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

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 07, 2020
I-20-01: NFA's Swaps Proficiency Requirements become effective January 31, 2020

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