CPOs/CTAs

The Hearing Panel found that Mozhayski accepted investment funds from a customer although she was not registered to do so, provided false customer statements indicating ...

The BCC found that Accusigma and Park failed to cooperate with NFA.

You request on behalf of “A”, the commodity pool operator (the “CPO”) for “B” (the “Onshore Feeder Fund”), “C” (the “Offshore Feeder Fund”), and “D” ...

Instead, you propose to file and distribute a report for the Pool that covers the period of time from January 1, 2015 to March 31, ...

The Order finds that TFF’s disclosure documents prepared by Equinox wrongly disclosed the basis on which management fees were charged, leading to overcharges of management ...

Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants

A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool ...

The Division hereby provides exemptive relief from aggregating and reporting Parallel Managed Accounts to the Pool with the largest AUM to which the Parallel Managed ...

The Complaint alleged that TGI repeatedly failed to timely file its quarterly NFA Form PR statements and to respond to NFA's attempts to notify the ...

Exemptive relief granted to a CPO of pools that began operations during the fourth quarter of 2015 from providing annual reports for fiscal year 2015; ...