NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters

On February 8, the National Futures Association (NFA) released three Notices to Member that cover educational resources, common regulatory and compliance deficiencies, and recent amendments to NFA Rules and Interpretative notices, each aimed at a different audience, as indicated below. These Notices are intended to assist members in efficiently and effectively meeting their regulatory obligations.

Notice I-21-06 is for swap dealers; Notice I-21-07 is for futures commission merchants, forex dealer members, and introducing brokers; and Notice I-21-08 is for commodity pool operators and commodity trading advisors.