CPO/CTA Home

Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules

Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

CPO/CTA NEWS & GUIDANCE

CFTC proposes easing privacy notice rule – three years after congressional action

12/06/2018

Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...

NFA moves to require firms to hold annual cybersecurity training

12/06/2018

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,...

New CFTC final swap rule clarifies deals covered and uncovered by margin rule

11/29/2018

The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...

LAWS & REGULATORY ACTIONS

Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.

Swap Execution Facilities and Trade Execution Requirement

Privacy of Consumer Financial Information - Amendment to Conform Regulations to the Fixing America’s Surface Transportation Act

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

Example of an NFA Exam Document Request Letter

NFA Exam Letter for a CPO/CTA

Document Request Letter from an NFA exam