NFA Compliance Brief: Futures Proficiency Exam Update

As of June 9, 2023 FINRA will end the current interim accommodation process for the Series 3, Series 31, Series 32, and Series 34 exams.  Only certain individuals will be able to reques the online administration of these exams. These…

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NFA Compliance: Annual Affirmation Reminder

Commodity Pools:  Reminder to Reaffirm Exemptions The CFTC requires any person that claims an exemption from Commodity Pool registration under CFTC Reg 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from Commodity Pool registration under Reg 4.5 or a Commodity Trading Advisor…

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