Mandatory CFTC/NFA Electronic Communications Training Oct 31, 2024 Turnkey customers, newsletter recipients, and blog readers are well aware that regulators have been working hard to enforce electronic communications supervision regulations. We have written about this trend many times… Read More
Recent NFA Actions Against Commodity Pool Operators Oct 30, 2024 In recent actions, the National Futures Association (“NFA”) has issued formal complaints against two registered commodity pool operators (“CPOs”), Scalebuilder LLC and AC Investment Management LLC, for multiple alleged regulatory… Read More
More Transparency Not Less: NFA’s Newest Move Might be the Worst Yet Oct 28, 2024 NFA Changes “BASIC” registration database to omit display of non-member exempt firms The National Futures Association (“NFA”) recently changed its BASIC registration database, removing information about non-member entities, such as… Read More