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Results 1 to 5 of 51



NFA updates BASIC to assist with Bylaw 1101 diligence on delegating CPOs

USA - April 10 2015 The National Futures Association (NFA) has updated its Background Affiliation Status Information Center (BASIC) system to help NFA members conducting…

Co-authors: Swathi Gandhavadi Griffin.


NFA modifies easyfile for pool annual financial statements

USA - February 16 2015 On February 10, National Futures Association (NFA) issued a notice to members describing minor changes to its EasyFile system for annual pool…

Co-authors: James M. Brady.


CFTC extends relief from certain OCR requirements

USA - February 16 2015 The Division of Market Oversight of the Commodity Futures Trading Commission has extended no-action relief from certain of the CFTC’s ownership and…

Co-authors: James M. Brady.


CFTC provides additional relief to certain delegating CPOs

USA - October 17 2014 In response to industry comment, on October 15 the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO)…


NFA issues notice regarding CPO and CTA reports and filing requirements

USA - October 3 2014 On October 1, National Futures Association issued Notice to Members I-14-26 informing commodity pool operators (CPOs) of changes to Form PQR and to…

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