The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
Taking this action will stop future NFA notices alerting you to file Form PR
Depending on who you listen to, the proposal either ignores Congress’ intent or makes common sense
The SRO provides two steps to check on registration/exemption status
Gain greater insight into how to do your break-even analysis for the NFA
You're directed to report “if your cloud service providers have been affected by this attack"
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs