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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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May 24, 2023
I-23-11: FINRA adjusts online testing requirements for candidates seeking to take futures industry proficiency exams

March 29, 2023
I-23-10: Effective date for NFA rule establishing requirements for Members engaged in digital asset commodity activities

March 20, 2023
I-23-09: FCM and IB Members—FinCEN suspends the FATF membership of the Russian Federation and updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

March 6, 2023
I-23-08: Immediate attention required—Financial Requirements Section 12—Increases in required minimum security deposits for forex transactions

February 23, 2023
I-23-07: NFA's Board of Directors re-elects Maureen C. Downs to serve as Chair

February 6, 2023
I-23-06: Educational resources, common deficiencies and other important regulatory information for FCM, FDM and IB Members

February 6, 2023
I-23-05: Educational resources, common deficiencies and other important regulatory information for CPO and CTA Members

February 6, 2023
I-23-04: Educational resources, common deficiencies and other important regulatory information for SD Members

January 23, 2023
I-23-03: Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

January 10, 2023
I-23-02: Executive Representative Reminder and Proposed Amendments to NFA's Articles of Incorporation Relating to NFA's Governance

January 4, 2023
I-23-01: Notice of Annual Meeting of NFA Members and Board and Nominating Committee Selection