Pursuant to new National Futures Association (NFA) Compliance Rule 2-52, Interpretive Notice 9082 and amendments to NFA Bylaw 301, for NFA membership filings, membership renewals and material updates made after October 15,...more
During the course of 2019 and 2020, the Commodity Futures Trading Commission and the National Futures Association (NFA, the self-regulatory organization for the U.S. futures and swaps industry) have been hard at work amending...more
11/9/2020
/ Buy-Side Trading ,
CFTC ,
Commodity Futures Contracts ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Coronavirus/COVID-19 ,
Derivatives ,
Infectious Diseases ,
National Futures Association ,
Regulatory Requirements ,
Relief Measures ,
Reporting Requirements ,
Rulemaking Process
The National Futures Association (NFA), the self-regulatory organization of the futures and swap trading industry, announced to its membership on January 7, 2019 that it had amended its requirements for NFA Member Information...more
2/8/2019
/ Amended Rules ,
CEOs ,
CFTC ,
Chief Information Security Officer (CISO) ,
Chief Technology Officer (CTO) ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cybersecurity ,
Data Security ,
National Futures Association ,
NFA ,
Popular
Beginning with the second quarter 2017 filings, registered commodity pool operators (CPOs) and commodity trading advisors (CTAs) (collectively, Registrants) will need to report financial information regarding their own...more