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CPOs/CTAs

In one case, a CTA has operated for 20 years without allegedly joining the NFA
The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications from claiming a CPO registration ...
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
The pandemic and market volatility that “has reached historic levels” explain the change
The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools
CIM placed orders at different bid and offer prices, but after being unable to fill the orders, Khorrami repeatedly modified the orders until the bid ...
The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR
the proposal would eliminate the pool-specific information currently required to be reported in Schedules B or C of the form
The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
The CFTC understands "that the COVID-19 pandemic may present challenges in timely meeting certain of their obligations"
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
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"
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
The changes harmonize the CFTC’s rules with the SEC’s
CPO barred for misbehavior
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