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.

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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 07, 2021
I-21-43: Action encouraged: CPO and CTA Members should ensure Executive Representative information is accurate prior to December 27, 2021 to facilitate voting in upcoming contested election

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

July 01, 2021
I-21-21: Amendments to NFA Compliance Rule 2-46 conforming CPO filing requirements to CFTC Regulation 4.27 now effective

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

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