Forms

The Division hereby provides exemptive relief from aggregating and reporting Parallel Managed Accounts to the Pool with the largest AUM to which the Parallel Managed ...

The Complaint alleged that TGI repeatedly failed to timely file its quarterly NFA Form PR statements and to respond to NFA's attempts to notify the ...

We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; ...

Are corrective action statements, especially those involving changes in personnel, worth it (see related story)?   Unlike a Form U5, where firms are required to ...

In the latest CFTC no-action letter to grant relief from planned rules changes that the Commission hasn’t gotten around to making yet, the agency advised ...

Based on feedback from CPO Members, NFA has made some slight enhancements to the CPO Form PQR, available in EasyFile, effective for the quarter ending ...

Beginning this month, investors will now have quicker access to disclosure information reported on Form U5. The SEC has approved a change to FINRA rule ...

NFA has also issued responses to frequently asked questions (FAQs) relating to filing the CTA Form PR and the CPO Form PQR to assist Members ...

If you’re registered with the National Futures Association, you must annually complete its self-examination questionnaire – which the SRO’s examiners will ask to see (IA ...

Time has come around again for the filing of the government’s 8-page Form BE-180. Every five years, the Department of Commerce’s Bureau of Economic Analysis ...