In response to an increase in the volume of promotional material being submitted by guaranteed introducing brokers (GIBs) to the National Futures Association (NFA) through its Pre-review Program (a free service offered by the...more
4/3/2013 - FCMs Guaranteed Introducing Brokers NFA
Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more
3/20/2013 - CFTC Chief Compliance Officers Compliance FCMs NFA Reporting Requirements
The National Futures Association (NFA) has notified its members that it will require each member of the NFA that is registered as a commodity pool operator (CPO) and operates one or more commodity pools that are also...more
2/6/2013 - CFTC CPO Investment Companies NFA Registration
The National Futures Association (NFA) recently amended Section 4 of its Financial Requirements to require futures commission merchants (FCMs) that hold customer funds to in turn require banks and trust companies holding such...more
2/6/2013 - NFA Reporting Requirements Segregated Funds Third-Party
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