NFA Trade Execution Audit: Are you Prepared? Jan 31, 2020 National Futures Association, Commodity Futures Trading Commission, and CME Group examiners are becoming increasingly granular about their testing of trade execution record keeping. The following article describes what you can do to protect your firm when this part of your business is reviewed.
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.