The National Futures Association (NFA) has proposed a new rule that would require registered commodity pool operators (CPOs) that are members of the NFA (CPO Members) to report to the NFA by 5:00 pm Central Time the next...more
3/10/2021
/ Capital Markets ,
Commodities Traders ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Margin Calls ,
National Futures Association ,
Redemption Agreement ,
Regulatory Requirements ,
Reportable Events ,
Reporting Requirements ,
Swaps
The US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association have each announced temporary regulatory relief for market...more
If proposed amendments to existing cybersecurity interpretive guidance become final, National Futures Association members may need to bring their cybersecurity policies up to date. Changes include a new notification...more
The National Futures Association (NFA) announced the effective date of its interpretive notice that establishes virtual currency disclosure requirements applicable to futures commission merchant, introducing broker, commodity...more
The National Futures Association’s proposed virtual currency disclosure requirements would be applicable to futures commission merchant, introducing broker, commodity pool operator, and commodity trading advisor member firms....more
Registered futures commission merchants, introducing brokers, commodity pool operators, and commodity trading advisors should implement procedures to comply with the new requirements....more
NFA links NFA’s supervisory requirements with its proposed requirements mandating that NFA Members have information systems security programs.
The National Futures Association (NFA) has proposed cybersecurity...more
9/8/2015
/ Board of Directors ,
C-Suite Executives ,
CFTC ,
Cyber Threats ,
Cybersecurity ,
Data Protection ,
Data Security ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Incident Response Plans ,
Information Security ,
National Futures Association ,
NIST ,
Proposed Regulation ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments
The reporting relief applies to commodity trading advisors that do not “direct” trading of any client commodity interest trading accounts.
On July 23, the CFTC’s Division of Swap Dealer and Intermediary Oversight issued...more