CPO and CTA Reporting Requirements Update: Amendment to NFA…
Commodity Pool Operators and Commodity Trading Advisors will now be required to report two new ratios on their PQR and […]
Remember to re-up your CTA and CPO Registration Exemption!
Any CTA and/or CPO claiming an exemption from registration must reaffirm the exemption annually via the NFA’s website under Electronic […]
CFTC Approves Final Rule Amendments For CPO Annual Audits
The CFTC unanimously approved certain amendments to its Part 4 regulations that relates to Commodity Pool Operators and their reporting […]
Reminder: NFA Imposes Late Fee – Effective September 30,…
Expect to be hit with a $200 a day late fee by the NFA if you don’t file your forms […]
Proposed Amendment to NFA Compliance Rule 2-46
On Sept. 6, 2016 the NFA submitted to the CFTC a proposed amendment with regard to reporting financial information on […]
NFA Updates Self-Exam Questionnaire for IBs and CPOs
Every year, the NFA requires members to update their operations information to satisfy their continuing supervisory responsibilities under NFA Compliance […]
NFA Enforces Deadlines for CTA and CPO Late Filings
NFA Compliance Rule 2–46 requires CPOs and CTAs to file NFA Form PQR and NFA Form PR, respectively, with NFA […]
2016 NIBA/DePaul Event – July 14, 2016
The National Introducing Broker Association is hosting an informative and instructive afternoon briefing July 14th, 2016 at DePaul University, 8th […]
SEC Rule – Set to Expire
As of July 31, 2016, Broker Dealers, including those dually registered as Futures Commission Merchants, will be prohibited from offering […]