Department of Labor’s Fiduciary Rule Affects Financial Advisors, Fees,…
The Department of Labor’s fiduciary rule that affects financial advisors, fees, and mutual funds is to go into effect in […]
Amendment to NFA Compliance Rule 2-36: requirements for forex…
The CFTC recently approved NFA’s amendment to NFA Compliance Rule 2-36, which requires forex dealer members to provide customers, upon […]
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 […]