CFTC Adopts Harmonizing Rule for CPOs of Registered Investment…
The CFTC recently adopted final rules concerning certain compliance obligations for CPOs of RICs under the Investment Company Act of […]
“Red Flag” Rules apply to FCMs, CTAs, CPOs, BDs,…
The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the […]
CTA Expo Chicago
CTA Expo will be hosting their conference in Chicago on September 19, 2013. It will be held at the UBS […]
The Traders Exchange Networking Event September 18, 2013 Chicago
Save the Date for one of the best networking opportunities in the Futures and Hedge Fund community. The Traders Exchange […]
National Introducing Brokers Association Conference-Chicago 2013
The National Introducing Broker Association will be hosting their annual Chicago conference on September 18, 2013. The morning sessions will […]
CPO and CTA Quarterly Reporting Amendments
NFA member CPOs are required to file on a quarterly basis Form PQR disclosing certain information for each pool that […]
SEC Update – Custody Rule Deficiencies
A risk alert was recently released by the SEC. It addresses common deficiencies related to Rule 206(4)-2, also know as […]
IIB Certified Audits–Reporting
After a busy audit season that included many new rules implemented by NFA and CFTC, we would like to share […]
Regulatory Requirements for FCMs, CPOs, IBs, and CTAs
NFA Regulatory Requirements-May 2013