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NFA National Futures Association - printscan.com

National Futures Association Any individual that is applying to register as an Associated Person, Floor Broker, Floor Trader or to be listed as a Principal must send a completed fingerprint card to NFA.

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The National Futures Association As Market Watchdog

The National Futures Association (NFA) was created in 1982 as a self-regulatory body when Congress passed an amendment to the Commodity Exchange Act. The original purpose of the NFA was to ...

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United States - NFA and CFTC Forex Regulation News

National Futures Association (NFA) has issued a $1. 1 million fine and a $1. 8 million restitution order against FXDirectDealer LLC (FXDD), a registered futures commission merchant Forex Dealer Member of NFA located in New York City. The Decision, issued by NFA's Hearing . . .

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NFA Proposes Amendments to Compliance Rule 9(c) and ...

On June 15, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Compliance Rule 9(c) and the NFA Interpretive Notice entitled Compliance Rule 9: FCM and IB Anti-Money Laundering (AML) …

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Confirmations: NFA and CME’s Financial Match.com | John ...

The fraud at Peregrine Financial Group was uncovered in July 2012 by the National Futures Association (NFA) which used an electronic bank account confirmation system.

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Introduction to National Futures Association

National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. futures industry. We strive every day to develop rules, programs and services that safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities. Managing risk by trading futures and options on futures

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Press About nfa.futures.org - NFA - National Futures ...

NFA - National Futures Association National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. futures industry. NFA strives every day to safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities.

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National Futures Association - Official Site

NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory ...

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FUTURES - Financial Crimes Enforcement Network

National Futures Association appreciates the opportunity to comment on the proposed rules relating to special due diligence programs for certain foreign accounts that were issued by the Financial Crimes Enforcement Network. NFA is a registered futures association under the Commodity Exchange Act and a self-regulatory

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New rules and regulations set forth by the CFTC and the NFA

The current requirements, as amended, have been incorporated into NFA’s electronic rulebook, which is located at this link: National Futures Association | NFA Manual / Rules. You are receiving this message because you are either a Member of National Futures Association (NFA) or you subscribed to the email subscription list on NFA’s Web site.

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NFA – National Futures Association | Forex Marketplace and ...

National Futures Association (NFA) is the self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange …

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REVIEW of the FCM and IBI Financial Reports Review Program ...

of National Futures Association I. INTRODUCTION This is a report on a review by the Division of Trading and Markets ("Division") of National Futures Association's ("NFA") program ("Program") for tracking and reviewing financial reports filed by futures commission merchants ("FCMs") and independent introducing brokers1 ("IBIs"). The Division ...

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NFA Proposes FCM Financial Requirements in the Wake of MF ...

In the continuing regulatory response to the insolvency of futures commission merchant (FCM) MF Global, the National Futures Association (NFA) on May 29 sought Commodity Futures Trading Commission (CFTC) approval of new financial requirements for FCMs.

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Financial Security | Generic Trade

Generic Trade is registered with the Commodity Futures Trading Commission (CFTC) and is a member of the National Futures Association (NFA). Because of the financial safeguards created by the CFTC, the NFA and all U.S. futures exchanges (including the $7 billion safeguard system of the CME group), the assets which you maintain are well protected.

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NFA Proposes FCM Financial Requirements in the Wake of MF ...

In the continuing regulatory response to the insolvency of futures commission merchant (FCM) MF Global, the National Futures Association (NFA) on May 29 sought Commodity Futures …

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Financials – BDS

Brightwork is an Independent Introducing Broker (“IIB) registered with the National Futures Association (“NFA”) and the Commodity Futures Trading Commission (“CFTC”). Brightwork is required to meet their own individual capital adequacy policies with the NFA in addition to the financial requirements of each individual clearing firm.

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NFA Financial Requirements Section 16 – Required ...

Notice to Members I Aug NFA Financial Requirements Section 16 – Required Notification of Certain Disbursements from Segregated/Secured Amount Funds and New Requirements Regarding Statement Submitters Notification of Certain Disbursements from Segregated or Secured Amount Funds Effective Septem, any FCM that makes a disbursement or a series of …

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National Futures Association Proposes Cybersecurity ...

The National Futures Association (NFA) has proposed cybersecurity requirements that, if adopted, will apply to firms that are NFA Members—a category that includes brokers, swap dealers, futures commission merchants, retail forex dealers, asset managers, and other financial services firms that are registered with the Commodity Futures Trading ...

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New NFA disclosure requirements for virtual currency ...

The National Futures Association (NFA) recently implemented an Interpretive Notice, Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities, which is effective Octo. The new disclosure requirements are intended to address concerns that customers may not fully understand the nature of virtual currencies and ...

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United States - NFA and CFTC Forex Regulation News

National Futures Association (NFA) has issued a $1. 1 million fine and a $1. 8 million restitution order against FXDirectDealer LLC (FXDD), a registered futures commission merchant Forex Dealer Member of NFA located in New York City. The Decision, issued by NFA's Hearing . . .

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NFA issues notice on annual affirmation of exemption or ...

The Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, (CEA) requires CPOs and CTAs to register with the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), unless an exemption or exclusion from registration applies.

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Virtual Currency -- NFA Reporting Requirements and CFTC ...

National Futures Association(NFA) is requiring that member commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) immediately notify NFA if they operate a pool or manage an account that engages in a transaction involving any virtual currency or virtual currency derivative.

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National Futures Association: amendments to NFA financial ...

On May 30th, the National Futures Association announced that effective J, the requirements of NFA Financial Requirements Section 16 and the related interpretive notice entitled NFA ...

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NFA Proposes “Financial Health” Reporting Requirements for ...

In an effort to better understand and monitor the financial health of certain members of the National Futures Association (“NFA”), the NFA has submitted a proposal to the Commodity Futures Trading Commission (“CFTC”) that would require commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) to report additional information about their financial condition on a ...

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Amendments to NFA Financial Requirements for Forex Dealer ...

The National Futures Association (NFA) has amended NFA Financial Requirements (FR) Sections 11(b), 14(c) and 14(d), effective February 1. Under FR Section 11, a Forex Dealer Member is prohibited from including assets held at an “unregulated person” in its determination of current assets for purposes of calculating its adjusted net capital.

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Futures Account Opening Requirements - Investopedia

Futures Account Opening Requirements One of the ... The National Futures Association As Watchdog LOOK OUT! Questions on regulation are likely to encompass financial as well as agricultural futures.

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Amendments to NFA Financial Requirements for Forex Dealer ...

The National Futures Association (NFA) has amended NFA Financial Requirements (FR) Sections 11(b), 14(c) and 14(d), effective February 1. Under FR Section 11, a Forex Dealer Member is prohibited from including assets held at an “unregulated person” in its determination of current assets for purposes of calculating its adjusted net capital.

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New NFA disclosure requirements for virtual currency ...

The National Futures Association (NFA) recently implemented an Interpretive Notice, Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities, which is effective Octo. The new disclosure requirements are intended to address concerns that customers may not fully understand the nature of virtual currencies and ...

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FUTURES - Financial Crimes Enforcement Network

National Futures Association appreciates the opportunity to comment on the proposed rules relating to special due diligence programs for certain foreign accounts that were issued by the Financial Crimes Enforcement Network. NFA is a registered futures association under the Commodity Exchange Act and a self-regulatory

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THE NATIONAL FUTURES ASSOCIATION - Leo Melamed

The birth of the National Futures Association (NFA) was a painful and arduous process. But it was a must. The authority for such a self-regulatory body with a mandatory membership requirement—which had been a primary focus of the futures industry—had been authorized under Title III …

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Financial Services (“DFS”) - American Bankers Association

Authority (“FINRA”),13 14and the National Futures Association (“NFA”), not to mention requirements and guidelines at the international and state levels.15 These comprehensive requirements govern all areas of cybersecurity protection, including board engagement, corporate

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NFA financial definition of NFA - Financial Dictionary

National Futures Association A self-regulatory organization that works with the Commodity Futures Trading Commission to regulate the futures and commodities markets . Among its most important duties is the provision of arbitration and mediation services for traders and other interested parties.

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NFA Forex Rule Submission - cftc.gov

National Futures Association (NFA) hereby submits to the Commodity Futures Trading Commission (CFTC or Commission) the proposed amendments to NFA Compliance Rule 36 and Financial Requirements Section 11 and 12 and the proposed Interpretive Notice to NFA Compliance Rule 36 entitled "Risk Management Program for Forex Dealer Members."

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Financial Security | Generic Trade

Generic Trade is registered with the Commodity Futures Trading Commission (CFTC) and is a member of the National Futures Association (NFA). Because of the financial safeguards created by the CFTC, the NFA and all U.S. futures exchanges (including the $7 billion safeguard system of the CME group), the assets which you maintain are well protected.

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National Futures Association. Agenda Introduction to NFA ...

National Futures Association. Agenda Introduction to NFA Compliance Department Responsibilities and Enforcement Activities www.nfa.futures.org FOR MORE.

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Hong Kong’s SFC Warns Against Fake NFA-Regulated FX Broker ...

7  · Interestingly, HKJHFX falsely claims to be regulated by the US National Futures Association (NFA), but without providing any registration number to confirm its regulatory status. A search on the NFA’s website using the company’s name reveals …

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Introducing Brokers (IB) Registration | Shipkevich ...

Upon registration with the CFTC, IBs must become members of the National Futures Association (NFA). The NFA is a self-regulatory organization that enforces the CFTC’s financial and reporting requirements. In addition to NFA membership, an IB may become a member of one or more designated contract markets (commodity exchanges).

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NFA to Incorporate CFTC Risk Management Program ...

The National Futures Association (“NFA”) submitted to the CFTC proposed amendments to NFA Compliance Rule 26 (“FCM and IB Regulations”) to incorporate the CFTC’s Risk Management Program Requirement for futures commission merchants (“FCMs”).

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National Futures Association | Securities Litigation ...

In December, the National Futures Association (NFA), the futures industry’s self-regulatory organization, issued three Notices to Members that expand the notification and reporting requirements for futures commission merchants (FCMs), introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisers (CTAs) trading in ...

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National Futures Association (NFA) Amends Futures ...

The National Futures Association (NFA) has amended the financial requirements applicable to member futures commission merchants (FCMs) acting as counterparties in foreign exchange (forex ...

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