NFA Extends Fingerprinting Requirement
Due to the ongoing CoVid-19 pandemic, the NFA had granted relief of the fingerprinting requirement for registrants, principals, and associated […]
NFA Members – Review Your Current Operations
The NFA requires member FCMs, RFEDs, IBs, CPOs, and CTAs must review their operations on an annual basis using the […]
Reminder: Compliance Date Approaches for NFA’s Swaps Proficiency Requirements
[vc_row][vc_column][vc_column_text]NFA Members with Associated persons may be required to satisfy NFA’s Swaps proficiency Requirements if APs engage in Swaps activities […]
NFA Compliance – Training Reminders
As the NFA performs frequent audits of member firms, there are areas that can be ripe for deficiency findings. As […]
Becoming a Commodity Pool Operator – Registration Requirements
We are often asked for budgeting and requirements for registering with the National Futures Association (NFA) as a Commodity Pool […]
Compliance Checkup – Annual Introducing Broker Requirements
Summer is a good time to review your annual NFA requirements to make sure you remain in compliance with the […]
Unique Accounting Aspects of the PPP Loan
Many small businesses including broker dealers, introducing brokers, registered investment advisors and others in the alternative investment space have received […]
NFA Regulatory Oversight Webinar
NFA is providing a free webinar on May 27, 2020 at 9:30 a.m. CT/10:30 a.m. ET. There is no charge […]
NFA Pool Audit Stub Period Relief – Reminders
Occasionally, our firm runs into new, start up commodity pools that are unaware of this relatively new regulatory relief that […]