NFA

The Complaint alleged that AK Financial and Kim facilitated prohibited loans and advances to themsetves from a pool which they operated, in violation of NFA ...

The Order further finds that Schleifer made numerous false statements and misrepresentations to the National Futures Association (NFA) during routine NFA audits, including falsely stating ...

On an ongoing basis, NFA will oversee CFTC Covered Swap Entities by analyzing model back-tests and monitoring for compliance with margin regulations. NFA will share ...

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 ...

March 1 ushers in the new cybersecurity rule from the National Futures Association, as scary stories continue to mount about cyber hackers trolling the industry ...

Commodity pool operators must prepare three types of periodic financial statements. 1. Describing their financial condition 2. Detailing any income loss and 3. Reporting changes ...

This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...

Count I of the Complaint alleged that XFA, Scheffler and Stafford violated NFA Compliance Rule 2-9(a), by failing to adequately supervise XFA's operations. Count ll of ...

The Complaint alleged that Ansbacher failed to timely file quarterly pool reports, annual pool financial statements, and CTA pool reports with NFA, in violation of ...

The Complaint alleged that Parker failed to provide a customer with an accepted disclosure document prior to opening and exercising discretion over the customer account, ...