Proposed Amendments to NFA Compliance Rule 2-7 Nov 30, 2021 Pursuant to the NFA’s recent Amendment to Rule 2-7, Swap APs serving as Branch Managers of Member Firms… Read More
NFA Swaps Proficiency Test: An Inside Look Apr 29, 2020 In March 2019, NFA announced that all swap Associated Persons (APs) would be required to complete a new swaps proficiency requirement by January 31, 2021. As swap firms are aware, the initial registration process was completed by NFA earlier this year to setup a swap administrator for all firms and also list any APs that would be required to take the proficiency test.
NFA Amendments discretionary customer accounts, information, risk disclosures, bunched orders Feb 03, 2020 NFA recently amended several rules and Interpretive Notices related to discretionary customer accounts, customer information, risk disclosures and… Read More