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.

2021 | 2020 | 2019 | 2018 | 2017 | Show more years

 

December 29, 2020
I-20-49: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election

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

December 08, 2020
I-20-45: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

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 06, 2020
I-20-37: Coronavirus Update—Expiration of Temporary Relief from Fingerprinting Requirements

October 06, 2020
I-20-36: Effective dates of amendments to NFA's Code of Arbitration and Member Arbitration Rules

October 01, 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 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 08, 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 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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