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RE: Notice of Proposed Rulemaking: Foreign Boards of Trade (RIN 3038-AF37) – 89 Fed. Reg. 15083
Notice to Members RE: Notice of Proposed Rulemaking: Foreign Boards of Trade (RIN 3038-AF37) – 89 Fed. Reg. 15083 April 22, 2024 Mr. Kirkpatrick: NIBA appreciates the opportunity to comment on the Commodity Futures Trading Commission’s (CFTC or Commiss …
Read More >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 …
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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
- RE: Notice of Proposed Rulemaking: Foreign Boards of Trade (RIN 3038-AF37) – 89 Fed. Reg. 15083