CPO/CTA Compliance Toolbox

The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to register with the Commission ...

For the first time, the CFTC is releasing exam priorities -- like the SEC has done for years. This document outlines the priorities for 2019.

A peer provides a copy of the firm's NFA exam letter.

A peer shares the firm's recent document request letter from an NFA exam.

A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.

A peer passes on the firm's NFA exam letter.

This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...

A peer shares what the National Futures Association requested during an exam.

A peer shares a copy of an NFA exam letter sent to a CPO/CTA adviser.

Click here to open a Word file that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...