Notices to Members
December 29, 2021
I-21-46: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election
December 21, 2021
I-21-45: Effective date for amendment to NFA Financial Requirements Section 18
December 20, 2021
I-21-44: Effective date for amendment to exclude certain associated persons from the Branch Office Manager Examination requirement
December 06, 2021
I-21-42: Action required: NFA adds virtual currency and micro contract-related questions to Annual Questionnaire
December 02, 2021
I-21-41: SD holiday filing requirements
December 02, 2021
I-21-40: FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays
December 01, 2021
I-21-39: Reminder: Increases to NFA Member swap dealer and major swap participant dues effective January 1, 2022
December 01, 2021
I-21-38: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration
November 19, 2021
I-21-37: Action encouraged: Complete Firm Application and Annual Registration Update processes prior to December 3, 2021
November 19, 2021
I-21-36: Request for Public Representative Nominations for NFA's Board of Directors
November 11, 2021
I-21-35: NFA Announces Nominations Made by the 2021 Nominating Committee
November 01, 2021
I-21-34: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies
October 28, 2021
I-21-33: Swap dealers may include security-based swaps when calculating initial margin on a net portfolio basis subject to certain conditions
September 23, 2021
I-21-32: Effective date for amendments regarding mandatory clearing and trade execution requirements for SDs
September 22, 2021
I-21-31: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2022 Regular Annual Meeting
September 21, 2021
I-21-30: Effective date for amendment imposing a late fee for certain SD filings and new Interpretive Notice clarifying existing SD filing requirements
September 20, 2021
I-21-29: Effective date for amendment to Financial Requirements Section 18
September 16, 2021
I-21-28: Effective date for amendments to NFA's Interpretive Notice regarding branch office registration requirements
August 10, 2021
I-21-27: Financial Requirements Section 12 — Changes in required minimum security deposits for certain forex transactions
July 26, 2021
I-21-26: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies
July 19, 2021
I-21-25: Extension of relief from the on-site annual inspection of branch offices and guaranteed IBs
July 19, 2021
I-21-24: FCM and IB Members—FinCEN issues first national AML/CFT Priorities
July 14, 2021
I-21-23: NFA warns of fraudulent phishing emails purporting to be from NFA
July 06, 2021
I-21-22: Effective date for technical amendments regarding electronic service of process
June 29, 2021
I-21-20: Reminder: Effective date for NFA rules establishing CPO notice filing requirements
June 22, 2021
I-21-19: NFA seeking committee members and arbitrators
June 03, 2021
I-21-18: Reminder: Disclosure and Reporting Requirements for NFA Members engaging in virtual currency activities
June 01, 2021
I-21-17: NFA warns of fraudulent phishing emails purporting to be from NFA
May 24, 2021
I-21-16: Effective date for NFA Member swap dealer and major swap participant dues increases
April 13, 2021
I-21-15: Effective date for NFA rules establishing CPO notice filing requirements
March 31, 2021
I-21-14: Effective date for NFA's swap dealer capital requirements
March 24, 2021
I-21-13: Effective date for Interpretive Notice regarding Members' use of third-party service providers
March 16, 2021
I-21-12: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies
March 04, 2021
I-21-11: NFA provides important additional information on fraudulent phishing emails purporting to be from NFA
March 03, 2021
I-21-10: NFA warns of fraudulent phishing emails purporting to be from NFA
February 23, 2021
I-21-09: NFA's Board of Directors re-elects Maureen C. Downs to serve as Chair
February 08, 2021
I-21-08: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members
February 08, 2021
I-21-07: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members
February 08, 2021
I-21-06: Educational resources, common deficiencies and other important regulatory information for SD Members
January 25, 2021
I-21-05: Coronavirus (COVID-19) Update—Limited Extension to Certain Relief for FCMs and IBs
January 25, 2021
I-21-04: Final Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021
January 19, 2021
I-21-03: Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations
January 14, 2021
I-21-02: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
January 05, 2021
I-21-01: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021