CFTC/NFA Annual Compliance Obligations Nov 29, 2020 As the unprecedented year of 2020 comes to a close, staff will begin leaving for holiday vacation and compliance will be forgotten. Turnkey Trading Partners always likes to remind our clients to consider annual compliance deadlines and obligations.
NFA’s Exemptions System updated for persons seeking registration relief pursuant to CFTC Regulation 4.13 Nov 20, 2020 CFTC Regulation 4.13(b) requires a person seeking an exemption from registration under Regulation 4.13 to file electronically a notice of the exemption with NFA through its Exemptions System.