NFA

The Complaint alleged that Worley failed to cooperate promptly and fully with NFA during the course of its examination of the McElhannon Group and that ...

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 ...

The Complaint alleged that RNS and Mawad misappropriated approximately $180,000 from the RNS Capital LP Fund, a commodity pool operated by RNS, in violation of ...

NFA's exam found deficiencies in several facets of Amp's operations including its anti-money laundering (AML) procedures, its Risk Management Policy and the way the firm ...

The McElhannon Group's willful refusal to cooperate with NFA during its examination of the firm prevented NFA from completing the examination and determining if the firm ...

The Complaint alleged that Spencer failed to provide an approved disclosure document to managed account customers, in violation of NFA Compliance Rule 2-13(a).

This is a final rule from the CFTC released in September 2015 that essentially requires Commission-registered entities to be members of the National Futures Association. ...

You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...

The Complaint alleged that Primary Assets, Accredited lnvestment, and Catranis used promotional material that exaggerated the profit potential and downplayed the risk of trading futures and ...

A peer shares what the National Futures Association requested during an exam.