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National Futures Association

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Financial Services Weekly News Roundup - December 2014 #4

Goodwin on 12/24/2014

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

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

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

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Financial Services Weekly News Roundup - December 2014 #4

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

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