CPOs/CTAs

The default judgment found that on at least 10 occasions CT Managers issued, or caused to be issued, statements to pool participants that fraudulently inflated ...

Many advisers registered as commodity pool operators or trading advisors in the last year. Even those that have exemptions from registering with the CFTC must ...

Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted ...

The NFA Board of Directors has granted the Vice-President of Registration and Membership the authority to waive the Series 3 examination for certain individuals associated ...

We put you on notice in February that commodity trading advisors will likely face quarterly reporting to the National Futures Association (IA Watch, Feb. 11, ...

This is a chart, shared with permission of Bingham, that shows compliance requirements for commodity pool and trading advisers filing various required forms with the ...

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...