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Latest Regulation Toolbox Items
Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
Notice to Members I-24-02 Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration January 29, 2024 The CFTC requires any person that claims an exemption from CPO registration under CFTC Reg …
Read More >Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an exemption from CTA registration under 4 …
Read More >NIBA – Compliance Alert – NFA Recordkeeping Actions
Introducing Brokers are seeing the impact of the CFTC’s and NFA’s investigations into “off channel communications”. Since December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on 20 financial institutions for their use of unapp …
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All Regulation Toolbox Items
- Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
- NIBA – Compliance Alert – New Guidance on Future CFTC Enforcement Resolutions
- NIBA – Compliance Alert – NFA Recordkeeping Actions
- Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration