NFA, Investment Adviser | JD Supra Law News

Corporate and Financial Weekly Digest - March 8, 2013

by Katten Muchin Rosenman LLP on 3/11/2013

In this issue: - SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers - Frequently Asked Questions About Legal Entity Identifiers - CFTC...more

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

by Jeffrey D. Collins, Meredith Haviland, Diana W. Lo | Foley Hoag LLP on 2/25/2013

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more

NFA Issues Notice Regarding CTA Reporting Requirements

by James M. Brady, Kevin M. Foley | Katten Muchin Rosenman LLP on 1/31/2013

National Futures Association (NFA) issued a notice to members relating to reporting requirements for commodity trading advisors (CTAs)...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

D.C. District Court Rejects Challenge to CFTC Rule 4.5 Amendments

by Ropes & Gray LLP on 12/20/2012

On December 12, 2012, the U.S. District Court for the District of Columbia dismissed a lawsuit challenging recent amendments to Rule 4.5 (the “Amended Rule”) promulgated by the Commodity Futures Trading Commission (the...more

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NFA › Investment Adviser

Corporate and Financial Weekly Digest - March 8, 2013

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

NFA Issues Notice Regarding CTA Reporting Requirements

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

D.C. District Court Rejects Challenge to CFTC Rule 4.5 Amendments

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