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 […]
Four Mistakes New Fund Managers Make That Can Impact…
Getting a hedge fund, CTA or CPO set up correctly from the start can save money and severe consequences down […]
Important Tax Filing Deadlines – Date Change
Due to celebration of Emancipation Day in Washington D.C. on April 15th, the usual day earmarked as “Tax Day”, the […]
The How, Why and When of Selecting a Fund…
How or when to select or change a fund audit firm for your hedge fund, CTA or other alternative investment […]