CPOs/CTAs

The CFTC requires any person or entity claiming an exemption or exclusion from CPO registration under CFTC Regulation 4.5, 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or an ...

The questions concerning the CFTC’s Forms CPO-PQR and CTA-PR number in the many. The agency’s Division of Swap Dealer and Intermediary Oversight Nov. 5 published ...

NFA has also issued responses to frequently asked questions (FAQs) relating to filing the CTA Form PR and the CPO Form PQR to assist Members ...

The Complaint alleged that Ansbacher failed to timely file quarterly pool reports, annual pool financial statements, and CTA pool reports with NFA, in violation of ...

The Complaint alleged that Parker failed to provide a customer with an accepted disclosure document prior to opening and exercising discretion over the customer account, ...

The Complaint alleged that Worley failed to cooperate promptly and fully with NFA during the course of its examination of the McElhannon Group and that ...

According to the Complaint, the Defendants misappropriated funds for personal use and to pay principal and purported returns to existing pool participants, as is typical ...

The Orders find that Bullar, from at least January 2008, and EMA, from at least March 2009 through September 2013, fraudulently solicited and accepted at ...

If you’re registered with the National Futures Association, you must annually complete its self-examination questionnaire – which the SRO’s examiners will ask to see (IA ...

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather ...