September 25, 2012
NFA announces second New York regulatory workshop for entities that currently operate commodity pools whose exemptions expire on December 31, 2012
NFA will present an encore workshop in New York for entities that, due to the recent CFTC rule amendments, are operating or advising commodity pools that had previously been exempt from registration as CPOs or CTAs. The addition of this second workshop is in response to the significant demand for the initial workshop, which will be held on September 27.
The day-long, encore workshop, presented by NFA staff and other futures professionals, will focus on the registration process, disclosure document preparation, performance reporting, financial reporting requirements, sales practices and the NFA audit process.
The second workshop is scheduled for October 23, 2012, and will be held at the NYMEX Building (One North End Avenue).
The fee to attend the workshop is $200. This fee includes continental breakfast, morning and afternoon refreshment breaks, luncheon and all meeting materials.
NFA accepts credit card payments only. Space is limited and payment is required at the time of registration.
Click here to register.
The agenda for the workshop (subject to change) is as follows:
| 8:30 a.m. - 9:00 a.m. | Registration/Continental Breakfast |
| 9:00 a.m. - 9:30 a.m. | Welcome/Regulatory Update |
| 9:30 a.m. - 10:30 a.m. | Who has to register, the registration process and proficiency requirements |
| 10:30 a.m. - 11:00 a.m. | Refreshment Break |
| 11:00 a.m. - 11:45 a.m. | Disclosure Documents |
| 11:45 a.m. - 12:30 p.m. | Performance Reporting |
| 12:30 p.m. - 1:30 p.m. | Luncheon |
| 1:30 p.m. - 2:15 p.m. | Pool Financial Reporting |
| 2:15 p.m. - 2:45 p.m. | Sales Practices |
| 2:45 p.m. - 3:15 p.m. | Refreshment Break |
| 3:15 p.m. - 4:30 p.m. | NFA Audits |
| 4:30 p.m. | Closing Remarks and Adjournment |
Click here for more information.
