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Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
A failure to provide the annual affirmation can result in the exemption being withdrawn
The NFA amends the definition of branch office provided three conditions are met
Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...
Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.
The change will confirm the different filing deadlines that CPOs face regarding NFA Form PQR to match the CFTC's
The NFA recognizes some situations may technically require notice when it’s really not necessary, such as when a CPO “reasonably expects to meet the margin ...
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
The year in enforcement resulted in more than $14 million being returned to 700 harmed investors and the collection of $2.7 million in fines

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