SD - 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.

2024 | 2023 | 2022 | 2021 | 2020 | Show more years

 

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

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

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 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

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