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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
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

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