Home CPOs/CTAs
CPOs/CTAs
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
The changes harmonize the CFTC’s rules with the SEC’s
CPO barred for misbehavior
RELEASE Number 8052-19 October 15, 2019 Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years. The ...
Promised pool participants 8%-20% returns, lost $1.4 million
Marconato made false statements to the NFA by denying the existence of his commodity pool
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story). The ...