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Christian B. Hennion Katten Muchin Rosenman LLP

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)…

Co-authors: Adam J. Joines.


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…

Co-authors: Adam J. Joines.


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