Securities and Exchange Commission Investment Advisers registered with the Securities and Exchange Commission (“SEC”) and state securities authorities are required to file an annual updating amendment to the Form ADV…
NATIONAL FUTURES ASSOCIATION Commodity Pool Operators The National Futures Association (“NFA”) has modified the EasyFile system for the annual pool financial statements submitted by commodity pool operators (“CPOs”). The NFA…
NATIONAL FUTURES ASSOCIATION On January 15, 2015 the National Futures Association (“NFA”) released Notice to Members I-15-02 (“Notice”) regarding commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) exempt from…
Notice I-14-33 On December 1st, the NFA released Notice to Members I-14-33 regarding the CFTC’s recent approval on the NFA’s Interpretive Notice entitled “NFA Compliance Rules 2-4 and 2-36: Prohibition…
INTRODUCING BROKERS An October 31, 2014, Notice to Members, Notice I-14-27, announced that all introducing brokers (“IBs”) financial reports are now required to be filed electronically, this includes the annual…
Upcoming IB Filings: 1-FRs for IBs are due 7/24/2014 for the 6/30/14 filing. That is 2 days from today (Tuesday July 22) Please be sure to file this prior to…
NFA Registration Update Effective June 1, 2014, NFA imposed a $1,000.00 late disclosure filing fee for members who fail to disclose or updateregistration records involving prior and/or current disciplinary matters.…
CFTC Expedited No-Action Relief for CPO Delegation On May 12, 2014, the CFTC issued registration no-action relief on an expedited basis for CPOs who delegate certain activities to a registered…
