Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.
The money may spur more whistleblower awards because the law requires the Commission to spend the money by Oct. 2022 or any of the remaining ...
In a somewhat related development, the FSA June 2 released a Global Transition Roadmap for LIBOR
The change will confirm the different filing deadlines that CPOs face regarding NFA Form PQR to match the CFTC's
A CFTC final rule amending Form CPO-PQR last fall precipitated the new FAQs
A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...
The NFA recognizes some situations may technically require notice when it’s really not necessary, such as when a CPO “reasonably expects to meet the margin ...
“Climate change poses a major threat to U.S. financial stability, and I believe we must move urgently and assertively in utilizing our wide-ranging and flexible ...
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
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