CPOs/CTAs

Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted ...

The NFA Board of Directors has granted the Vice-President of Registration and Membership the authority to waive the Series 3 examination for certain individuals associated ...

We put you on notice in February that commodity trading advisors will likely face quarterly reporting to the National Futures Association (IA Watch, Feb. 11, ...

This is a chart, shared with permission of Bingham, that shows compliance requirements for commodity pool and trading advisers filing various required forms with the ...

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...

The Investment Company Institute and the U.S. Chamber of Commerce have announced they plan to appeal last month's loss in challenging the CFTC's new rule ...

Another week, another no-action letter from the CFTC as the Dec. 31st deadline for CPO/CTA registration nears (IA Watch, Dec. 10, 2012). This time the ...

This is the so-called Appendix A, which the CFTC eliminated in new rulemaking in 2012. The elimination meant that some fund of funds advisers may ...