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.

2022 | 2021 | 2020 | 2019 | 2018 | Show more years

 

June 28, 2022
I-22-16: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

May 18, 2022
I-22-15: Proxies and Approximations Related to Alternative Reference Rates and Other Indices for Initial Margin Model Purposes

March 31, 2022
I-22-14: SD filing requirements for Juneteenth

March 31, 2022
I-22-13: FCM and RFED filing requirements for Juneteenth

March 23, 2022
I-22-12: FinCEN issues additional alert regarding the importance of identifying and quickly reporting suspicious transactions involving Russian elites and their proxies

March 17, 2022
I-22-11: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

March 11, 2022
I-22-10: Reminder: CPO notice filing requirements under Compliance Rule 2-50

March 09, 2022
I-22-09: FinCEN issues alert on potential Russian sanctions evasion efforts and reminds financial institutions of SAR and other reporting obligations

March 02, 2022
I-22-08: NFA encourages Members to monitor U.S. sanctions on Russia and be vigilant of cybersecurity threats

February 22, 2022
I-22-07: NFA's Board of Directors re-elects Maureen C. Downs to serve as Chair

February 02, 2022
I-22-06: Notice of Members Elected to NFA's Board of Directors and Nominating Committee

February 01, 2022
I-22-05: Extension of relief from the on-site annual inspection of branch offices and guaranteed IBs

January 13, 2022
I-22-04: Educational resources, common deficiencies and other important regulatory information for SD Members

January 13, 2022
I-22-03: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

January 13, 2022
I-22-02: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members

January 12, 2022
I-22-01: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

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