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 12, 2022
I-22-27: SD holiday filing requirements

December 12, 2022
I-22-26: FCM and RFED filing requirements for Christmas and New Year's Day—Reminder for upcoming holidays

December 5, 2022
I-22-25: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration

December 1, 2022
I-22-24: FINRA announces increase in proficiency examination fees for 2023

November 21, 2022
I-22-23: Request for Public Representative Nominations for NFA's Board of Directors

November 10, 2022
I-22-22: NFA Announces Nominations Made by the 2022 Nominating Committee

November 3, 2022
I-22-21: FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT/CPF deficiencies

October 31, 2022
I-22-20: Reminder: NFA Member cybersecurity responsibilities

September 26, 2022
I-22-19: Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2023 Regular Annual Meeting

August 30, 2022
I-22-18: SD notice filing requirements under CFTC Regulation 23.154

July 13, 2022
I-22-17: Forex Dealer Members: Effective date for amendment to NFA Compliance Rule 2-43

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 9, 2022
I-22-09: FinCEN issues alert on potential Russian sanctions evasion efforts and reminds financial institutions of SAR and other reporting obligations

March 2, 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 2, 2022
I-22-06: Notice of Members Elected to NFA's Board of Directors and Nominating Committee

February 1, 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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