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Regulation

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Regulation

What's New

9/7/2010
Notices to Members
Effective Date of Changes to the Risk Disclosure Statement for Security Futures Contracts

9/7/2010
Rule Submission Letters
National Futures Association: Forex Registration Requirements - Proposed Amendments to NFA's Bylaw 301; Registration Rules and the Interpretive Notice Regarding Registration Requirements; Branch Offices

9/7/2010
Rule Submission Letters
National Futures Association: Forex Dealer Member Trade Reporting System - Proposed Adoption of NFA Compliance Rule 2-48

9/1/2010
Notices to Members
NFA to begin accepting registration applications from forex firms and individuals on September 2

8/31/2010
Notices to Members
Board and Nominating Committee Members Whose Terms Will Expire at the 2011 Annual Election

8/30/2010
Rule Submission Letters
National Futures Association: Cleared OTC Derivatives - Proposed Amendments to NFA Financial Requirements Section 4

8/30/2010
Rule Submission Letters
National Futures Association: Assessment of Trades on Foreign Exchanges - Proposed Amendments to NFA Bylaw 1301

8/27/2010
News Releases
NFA takes emergency enforcement action against Spirit Investments, Inc. and its principal, Scott A. Bottolfson

8/18/2010
Petitions for Rulemaking
Withdrawal of June 29, 2010 Petition for Rulemaking

8/18/2010
Petitions for Rulemaking
Petition for Rulemaking to Amend CFTC Regulation 4.5

8/11/2010
News Releases
NFA reaches settlement agreement with California futures firm Opportunities in Options, its principal and three of its Associated Persons

7/28/2010
Notices to Members
Effective Date of Changes to NFA's Know-Your-Customer Requirements

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Featured Information

NFA has produced several new Compliance podcasts and webcasts to help Members fulfill their regulatory responsibilities. Visit the Education and Training section of this website for additional details.

Special Messages

Effective May 16, 2009, the minimum financial requirement for Forex Dealer Members (FDMs) is $20 million. For additional information on FDM financial requirements, click here.

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