NFA, CPO | JD Supra Law News

NFA Amends CPO and CTA Quarterly Reporting Requirements

by Blake Brockway, Kevin M. Foley, Christian Hennion | Katten Muchin Rosenman LLP on 4/30/2013

On April 24, the National Futures Association (NFA) issued a notice to members regarding amendments to NFA Compliance Rule 2-46. The amended rule modifies the NFA’s quarterly pool reporting requirements and extends related...more

Corporate and Financial Weekly Digest - April 26, 2013

by Katten Muchin Rosenman LLP on 4/29/2013

In this issue: - NFA Amends CPO and CTA Quarterly Reporting Requirements - SDNY Imposes Second Highest Penalty Under Foreign Corrupt Practices Act - Grand Jury Indicts Swiss Lawyer and Banker in Tax...more

NFA Proposes Amendment Permitting Certain Loans by Commodity Pools to Related Entities

by Blake Brockway, Christian Hennion, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 3/13/2013

On March 4, the National Futures Association (NFA) issued a proposed rule change and interpretive notice that would allow commodity pools to provide certain loans to related commodity pool operators (CPOs) and other...more

401(k) Plans—Potential Commodity Pool Issues in the United States

by Susan M. Camillo, Andrew L. Oringer, M. Holland West | Dechert LLP on 2/28/2013

Under the rules of the Commodity Futures Trading Commission (“CFTC”), certain collective investment vehicles and other entities that, directly or indirectly, invest in “commodity interests” may be “commodity pools” whose...more

NFA to Require CPOs to Identify Registered Investment Companies

by Kevin M. Foley, Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 2/6/2013

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

Corporate and Financial Weekly Digest - February 1, 2013

by Katten Muchin Rosenman LLP on 2/4/2013

In this issue: - SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps - NFA Sets Implementation Deadline for Phase 1 of Customer Segregated Funds Reporting - CFTC to...more

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

by Kathleen H. Moriarty, Peter J. Shea, Gregory E. Xethalis | Katten Muchin Rosenman LLP on 12/29/2012

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as CPOs

by James M. Brady, Kevin M. Foley, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 12/28/2012

The National Futures Association (NFA) has issued a notice temporarily exempting certain proprietary trading firms that may be required to be registered as commodity pool operators (CPOs) as of December 31, 2012, from the...more

NFA Issues Guidance on Reaffirmation of CPO/CTA Exemptions

by Carolyn A. Jayne, Cary J. Meer, Lawrence B. Patent | K&L Gates LLP on 12/13/2012

Introduction - Earlier this year, the Commodity Futures Trading Commission (“CFTC”) promulgated amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) that now...more

Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps and Certain Foreign Exchange Forwards from the...

by Ropes & Gray LLP on 11/26/2012

On November 16, 2012, the United States Department of the Treasury (the “Treasury Department”) issued a final determination (the “Final Determination”) regarding the treatment of foreign exchange swaps and certain foreign...more

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NFA › Commodity Pool Operator