CPO - Notices to Members

View NFA Notices to Members—messages or reminders regarding compliance updates, NFA events, and other important news.

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December 29, 2021
I-21-46: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Election

December 20, 2021
I-21-44: Effective date for amendment to exclude certain associated persons from the Branch Office Manager Examination requirement

December 7, 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 6, 2021
I-21-42: Action required: NFA adds virtual currency and micro contract-related questions to Annual Questionnaire

December 1, 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

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 16, 2021
I-21-28: Effective date for amendments to NFA's Interpretive Notice regarding branch office registration requirements

July 19, 2021
I-21-25: Extension of relief from the on-site annual inspection of branch offices and guaranteed IBs

July 14, 2021
I-21-23: NFA warns of fraudulent phishing emails purporting to be from NFA

July 6, 2021
I-21-22: Effective date for technical amendments regarding electronic service of process

July 1, 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 3, 2021
I-21-18: Reminder: Disclosure and Reporting Requirements for NFA Members engaging in virtual currency activities

June 1, 2021
I-21-17: NFA warns of fraudulent phishing emails purporting to be from NFA

April 13, 2021
I-21-15: Effective date for NFA rules establishing CPO notice filing requirements

March 24, 2021
I-21-13: Effective date for Interpretive Notice regarding Members' use of third-party service providers

March 4, 2021
I-21-11: NFA provides important additional information on fraudulent phishing emails purporting to be from NFA

March 3, 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 8, 2021
I-21-08: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

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 5, 2021
I-21-01: Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

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