Home NFA

NFA

In one case, a CTA has operated for 20 years without allegedly joining the NFA
A peer shares the firm's checklist for branch office inspections
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
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
New rules take effect with the first of the year
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The ...
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The ...
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...
James D. Crombie (Crombie) permanently banning him from trading on CFTC-regulated markets for his own personal account and from having such trades made on his ...
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...
Bretas de Freitas and PCI fraudulently solicited at least $7.8 million from various victims for the defendants’ commodity pools or managed futures funds (“Funds”). ...
Swaps and counterparties incorporated into compliance rules
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination