June 30, 2021 NFA orders Chicago, Ill. swap dealer The Northern Trust Company to pay a $999,000 fine Read More >
June 5, 2021 Proposed Technical Amendments to NFA Bylaws and Rules to Provide for Electronic Service of Process Read More >
June 5, 2021 Proposed Amendments to NFA Compliance Rule 2-46 to Conform Filing Requirements to CFTC Regulation 4.27 Read More >
June 2, 2021 Adopted Interpretive Notice 9077 – Compliance Rule 2-9(d): Swap Dealer and Major Swap Participant Supervision of the Use of Marketing Materials Read More >
May 25, 2021 Amendments to NFA Member Dues for Swap Dealer and Major Swap Participant Members – NFA Bylaw 1301 regarding Schedule of Dues and Assessments Read More >
May 21, 2021 NFA orders Plymouth, Minn. introducing broker Roy E. Abbott Futures, Inc. to pay a $75,000 fine and approximately $198,000 in restitution to customers Read More >
