National Futures Association

News & Analysis as of

NFA Adopts Cybersecurity Guidance for NFA Members

On October 23, 2015, the National Futures Association (NFA) adopted its Interpretive Notice Regarding Information Systems Security Programs (the Notice). As noted in our prior Password Protected update, the Notice requires...more

NFA Issues Notice to CPOs and CTAs Regarding EasyFile Logistics for CTA FORM PR and CPO Form PQR

The National Futures Association issued a notice explaining how Commission Forms CPO-PQR and CTA-PR can be filed through the NFA’s EasyFile System. To address member feedback on the EasyFile procedures, NFA has launched...more

Financial Services Weekly News - November 2015 #2

Regulatory Developments: CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR - On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more

NFA Adopts Cybersecurity Guidance

The National Futures Association (NFA) adopted on October 23, 2015 an “Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49: Information Systems Security Programs” (Notice). The Notice requires each NFA Member to...more

NFA Adopts Interpretative Notice Regarding Cybersecurity and Information Systems Security Programs

The Commodity Futures Trading Commission has approved the National Futures Association (NFA)’s interpretive notice related to Information System Security Programs (which was discussed in detail in the September 4, 2015...more

CFTC Approves NFA Interpretive Notice on Information Systems Security Programs, Including Cybersecurity Guidance

The CFTC recently approved the National Futures Association’s interpretive notice (the “Cybersecurity Notice”) on the general requirements that members should implement for their information systems security programs...more

Status of NFA's Section 4s Reviews and Swap Dealer Examinations

Beginning on December 31, 2012, swap dealers began filing applications for registration with the Commodity Futures Trading Commission (CFTC). As of October 2015, 104 entities are provisionally registered as swap dealers....more

Bridging the Week - October 2015 #3

Three Individuals Fined and Banned From Trading on CME Group Exchanges for Market Conduct Violations - CME Group business conduct committees permanently banned three traders from trading on CME Group exchanges for market...more

Corporate and Financial Weekly Digest - Volume X, Issue 40

BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more

NYCCHR’s Enforcement Guidance on NYC Credit Check Law: Answers and New Questions

On September 2, 2015, the New York City Commission on Human Rights (NYCCHR or Commission) issued Enforcement Guidance (Guidance) on the New York City Stop Credit Discrimination in Employment Act (SCDEA), which took effect on...more

Four Cybersecurity Ideas from CFTC Commissioner Bowen

On Sept. 17, 2015, Commissioner Sharon Y. Bowen of the U.S. Commodity Futures Trading Commission (CFTC) gave the keynote address for the International Swaps and Derivatives Association’s 2015 North American Conference in New...more

CFTC Requires IBs, CPOs and Certain CTAs To Be NFA Members

The CFTC has adopted a rule, Rule 170.17, requiring all registered introducing brokers (IBs), commodity pool operators (CPOs) and certain commodity trading advisors (CTAs) to become a member of a registered futures...more

NFA To Host Audio Conference for SDs and MSPs

National Futures Association (NFA) will hold an audio conference on Thursday, September 24, at 11:00 a.m. ET to help prepare swap dealers (SDs) and major swap participants (MSPs) for their upcoming examinations. Interested...more

Financial Regulatory Developments Focus - September 2015 #3

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Bridging the Week - September 2015

Alleged Flash Crasher's Formal Indictment Provides More Details Regarding His Purported Spoofing - The US Department of Justice filed a formal indictment against Navinder Singh Sarao in a US federal court in Chicago on...more

Corporate and Financial Weekly Digest - Volume X, Issue 35

SEC/CORPORATE - US District Court Orders SEC To Revise Resource Extraction Issuer Rule - On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more

"CFTC Extends Registered Futures Association Membership Requirement to Introducing Brokers, Commodity Pool Operators and Commodity...

The Commodity Futures Trading Commission (“CFTC”) unanimously approved a final rule (“Final Rule”) that formally extends the existing registered futures association (“RFA”) membership requirement to registered introducing...more

The Financial Report - Volume 14, No. 17 - September 2015 (US)

We all love to quote statistics when they tend to support whatever position we may be advocating. At the same time, however, we are often loath to take the time and effort to respond to surveys or provide information needed...more

National Futures Association proposes cybersecurity rules for its members

The National Futures Association (NFA) recently approved new mandatory cybersecurity rules for members of the futures industry. Members of the NFA include exchange-traded futures, forex and over-the-counter swaps industries....more

Orrick's Financial Industry Week in Review

Potential Damages in RMBS Suit Against WMC Mortgage Drastically Reduced - On August 18, Judge Denise Cote of the federal district court for the Southern District of New York addressed the appropriate measure of potential...more

CFTC Approves National Futures Association Rules Enhancing Protections for Retail Forex Customers

On August 27, 2015, the U.S. Commodity Futures Trading Commission (CFTC) approved rule amendments and a new interpretive notice proposed by the National Futures Association (NFA). The rule amendments and interpretive notice...more

NFA Proposes Interpretive Notice on Information Systems Security Programs

On August 28, the National Futures Association (NFA) proposed the adoption of an interpretive notice that requires every NFA member firm to establish and enforce an information systems security program (ISSP). The proposed...more

NFA Announces Effective Date of Enhanced Retail Forex Requirements

On September 1, the National Futures Association (NFA) issued a notice to its members announcing the effective date of new requirements for forex dealer members (FDM). As reported in the August 28 edition of the Corporate and...more

Corporate and Financial Weekly Digest - Volume X, Issue 34

CFTC - CFTC Announces Upcoming Agricultural Advisory Committee Meeting - The CFTC’s Agricultural Advisory Committee will hold a public meeting on September 22 to address speculative positions limits for...more

NFA Proposes Cybersecurity Guidance for Derivatives Traders

On August 28, 2015, the National Futures Association (NFA) submitted a proposed interpretative notice (Notice) to the Commodity Futures Trading Commission (CFTC) to require information systems security programs (ISSPs). If...more

124 Results
View per page
Page: of 5

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.