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NFA Exams (67)
Your search for NFA Exams returned 67 results.
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3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
3/14/2019 | Content area: CPO/CTA
The patience of the NFA has run out in regards to the El Segundo, Calif.-CPO Quants Capital Management and its former principal Gokhan Kisacikoglu. Th...
3/08/2019 | Content area: CPO/CTA
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs...
2/07/2019 | Content area: CPO/CTA
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Pr...
1/10/2019 | Content area: CPO/CTA
April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...
12/13/2018 | Content area: CPO/CTA
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat.   In...
12/06/2018 | Content area: CPO/CTA
It’s been two years since the NFA released it cybersecurity rules (CPO/CTA Watch, Feb. 23, 2016). Now the SRO is amending them to, among other things,...
11/29/2018 | Content area: CPO/CTA
The National Futures Association collected more than half a million dollars in fines in FY 2018, according to its new annual report released Nov. 20. ...
8/13/2018 | Content area: CPO/CTA
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...
7/31/2018 | Content area: Investment Adviser | CPO/CTA
Blackbird’s principals, Kelley and Shumway, solicited individuals to invest money with Blackbird, an entity that was registered as a Commodity Trading...
6/28/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations governing the minimum standards for a self-reg...
6/08/2018 | Content area: CPO/CTA
All associated persons that engage in swaps activities will have to undergo an online proficiency exam beginning in early 2020, according to the NFA. ...
5/31/2018 | Content area: CPO/CTA
The National Futures Association is concerned that a number of futures commission merchants and introducing brokers have failed to provide anti-money ...
5/03/2018 | Content area: CPO/CTA
It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance that ma...
3/29/2018 | Content area: CPO/CTA
With the quarter’s end upon us, the NFA is reminding CPOs and CTAs to answer new questions on its annual questionnaire regarding virtual currencies.  ...
8/25/2017 | Content area: CPO/CTA
A peer provides a copy of the firm's NFA exam letter.
7/13/2017 | Content area: CPO/CTA
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
5/04/2017 | Content area: CPO/CTA
A dual-registrant agreed this week to pay a $1 million fine for violating National Futures Association rules after the CEO of the London-based CPO/CTA...
4/13/2017 | Content area: CPO/CTA
You won’t be expected to adopt an accrual accounting method to satisfy the new requirement to report financial ratios on your reports to the National ...
12/01/2016 | Content area: CPO/CTA
Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the CBOE’s...


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