NFA

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (“SRO”) financial surveillance ...

All associated persons that engage in swaps activities will have to undergo an online proficiency exam beginning in early 2020, according to the NFA.   ...

The National Futures Association is concerned that a number of futures commission merchants and introducing brokers have failed to provide anti-money laundering training and/or conduct ...

It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance ...

With the quarter’s end upon us, the NFA is reminding CPOs and CTAs to answer new questions on its annual questionnaire regarding virtual currencies.   ...

A peer provides a copy of the firm's NFA exam letter.

The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...

A peer shares the firm's recent document request letter from an NFA exam.

A dual-registrant agreed this week to pay a $1 million fine for violating National Futures Association rules after the CEO of the London-based CPO/CTA/RIA took ...

You won’t be expected to adopt an accrual accounting method to satisfy the new requirement to report financial ratios on your reports to the National ...