NFA Compliance: Exam Relief Extended

Due to the ongoing COVID-19 pandemic, NFA has allowed Members to conduct all calendar year 2020 and 2021 annual inspections of branch offices and guaranteed introducing brokers remotely.  NFA has recently extended this relief through the end of 2022. Members…

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CTA and CPO Compliance: Time to Reaffirm Exemptions

Any person that claims exemption from CPO registration with NFA under the following CFTC Regs: 4.13(a)(5) 4.13(a)(2) 4.13(a)(3) 4.13(a)(5) 4.5 or CTA Registration 4.14(a)(8) must reaffirm the exemption at least 60 days before calendar year end, March 1, 2022. Failure…

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