RCW Staff

If fees and charges associated with futures transactions are not determined on a per trade or round-turn trade basis, the Member must provide the customer ...

This Notice is intended to specify minimum supervisory standards for branch offices and guaranteed IBs. A failure to adhere to the requirements specified in this ...

This Section is intended to allow NFA to maintain close review of promotional material in circumstances where special scrutiny is warranted.

This is a copy of the SEC's no-action letter related to advertising and marketing in response to a request from Jennison Associates.

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240 and 249b [RELEASE NO. 34-42892; FILE NO. S7-11-99] RIN 3235-AH44 REVISED TRANSFER AGENT FORM and RELATED RULE AGENCY:Securities ...

NFA Compliance Rule 2-9 requires Members to supervise diligently the futures-related activities of their employees and agents. Obviously, all Members should carefully screen prospective APs, ...

As a service to its Members and the investing public, NFA offers a program for the review of promotional material prior to its first use. ...

Since some of the Rule's provisions are stated in general terms, Members may understandably seek more specific guidance on some points. The best sources ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release Nos. 33-7870; 34-42994; 35-27193; IC-24549; IA-1884; File No. S7-13-00]RIN 3235-AH91Revision of the Commission's Auditor Independence RequirementsAGENCY:Securities ...

Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7867; 34-42942; 35-27185; 39-2386; IC-24498] RIN 3235-AG96 Adoption ...