CPOs/CTAs

CIM placed orders at different bid and offer prices, but after being unable to fill the orders, Khorrami repeatedly modified the orders until the bid ...

The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR

the proposal would eliminate the pool-specific information currently required to be reported in Schedules B or C of the form

The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis

The CFTC understands "that the COVID-19 pandemic may present challenges in timely meeting certain of their obligations"

The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules

Taking this action will stop future NFA notices alerting you to file Form PR

The SRO provides two steps to check on registration/exemption status

Gain greater insight into how to do your break-even analysis for the NFA

You're directed to report “if your cloud service providers have been affected by this attack"