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NFA Exams (75)
Your search for NFA Exams returned 75 results.
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5/23/2019 | Content area: CPO/CTA
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore.   In a new enforcement settlement, Graham and his C...
5/10/2019 | Content area: CPO/CTA
Bretas de Freitas and PCI fraudulently solicited at least $7.8 million from various victims for the defendants’ commodity pools or managed futures fun...
5/09/2019 | Content area: CPO/CTA
The NFA is reminding you that it has incorporated swaps and counterparties into seven existing compliance rules. The changes take effect July 1.   The...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/04/2019 | Content area: CPO/CTA
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO i...
3/28/2019 | Content area: CPO/CTA
2021 seems like a long time away but it can be on you faster than you think. The NFA’s reminding firms that its amended rule 2-24 (rules governing the...
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. ...


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