Final Rule:Selective Disclosure and Insider Trading SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240, 243, and 249 Release Nos. 33-7881, 34-43154, IC-24599, File No. S7-31-99 ...
Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act...
Interim Final Rule: Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies SECURITIES AND EXCHANGE COMMISSION ...
Final Rule:Financial Statements and Periodic Reports For Related Issuers and Guarantors SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 211, 228, 240 and 249 Release ...
This break-even analysis is a sample and the fees and expenses included in it may vary from those charged by other commodity pools. The analysis ...
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.
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 ...