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

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

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

March 12, 2020
I-20-11: Information on CFTC Regulatory Reporting 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-20-06: Educational resources, common deficiencies and other important regulatory information for SD 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 07, 2020
I-20-01: NFA's Swaps Proficiency Requirements become effective January 31, 2020

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