CFTC/NFA – Regulatory Recap – November 2019 Nov 26, 2019 NFA Compliance Rules 2-29 and 2-36 and related Interpretive Notices establish requirements for a Member’s communications with the public and use of promotional material. NFA recently amended these requirements to clarify their applicability, better reflect current technology and business practices and address the use of hypothetical performance in promotional material by commodity pool operator (CPO) Members operating pursuant to a CFTC Regulation 4.7 exemption. These amendments will become effective on January 1, 2020.
CFTC/NFA – Regulatory Changes – September 2019 Sep 30, 2019 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. … Read More
NFA – CTA and CPO Performance Accounting Changes Sep 17, 2019 National Futures Association submitted two rule submission letters to the CFTC on August 29th, 2019 updating various NFA… Read More