News

Tax Deadline Extensions and Reminders

Due to the COVID-19 pandemic, the federal government has moved the individual tax filing due date from April 15, 2020 to July 15, 2020. Additionally, the due date for Federal income tax payments (including payments of tax on self-employment income)…

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Commodity Pool Audit Regulatory Extensions

In response to the COVID-19 pandemic, the NFA issued a no action letter with regard to regulatory relief for Commodity Pools. Per NFA Rule 2-46, the NFA currently requires each CPO member to file the NFA Form PQR on a…

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Introducing Broker Financial Audits – New Deadline

Regulatory Relief for Introducing Brokers Per CFTC Regulation 1.10, Independent Introducing Broker Members must file a certified financial report within 90 days after the close of their fiscal year end.  Additionally, Independent Introducing Brokers must file a semi-annual financial report…

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NFA Compliance Reminders & Annual Requirements

Exemption Affirmation All exempt CPOs and CTAs have until March 2, 2020 to complete the affirmation process.  However, because it may be difficult for NFA members to conclusively determine whether a previously exempt CPO or CTA continues to be eligible…

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