Corporate and Financial Weekly Digest - Volume IX, Issue 7

In this issue:

- CFTC Exempts MTFs from US Registration Requirements

- CFTC Guidance Relating to Trading on SEFs and DCMs

- NFA Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d)

- CFTC Issues No-Action Relief Regarding 30.7 Accounts

- SEC Files Insider Trading Action Despite Unknown Tipper

- New York Federal Court Dismisses Derivative Suit Against Sons of Norway Executives

- Excerpt from NFA Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d):

Under Commodity Futures Trading Commission regulations, any person claiming an exemption or exclusion from commodity pool operator (CPO) or commodity trading advisor (CTA) registration pursuant to CFTC Regulations 4.5, 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or 4.14(a)(8) must annually reaffirm this exemption within 60 days of the end of each calendar year. National Futures Association (NFA) Bylaw 1101 and Compliance Rule 2-36(d) require NFA members that carry accounts for or transact business with any unregistered person to confirm that such person has filed a notice with NFA reaffirming the exemption on an annual basis.

Please see full newsletter below for more information.

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Written by:

Published In:

NFA
SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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