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Results 1 to 5 of 67

NFA Makes Minor Change to CPO Form PQR and Reminds CPOs and CTAs About Late Fees

USA - September 30 2016 National Futures Association (NFA) has revised its CPO Form PQR to allow member firms to enter in separate boxes the dates for each redemption halt…

Co-authors: James M. Brady.

NFA Proposes Amendments to CPO and CTA Quarterly Reporting Requirements

USA - September 16 2016 On September 6, the National Futures Association (NFA) filed with the Commodity Futures Trading Commission for approval an amendment to NFA…

Co-authors: Stanley V. Polit.

CFTC Grants SEF Registration Status to Seed SEF LLC

USA - August 26 2016 On August 23, the Commodity Futures Trading Commission issued an Order of Registration granting Seed SEF LLC (Seed) full registration status as a…

Co-authors: Stanley V. Polit.

CFTC Releases Swap Dealer De Minimis Exception Report

USA - August 19 2016 On August 15, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (Division) published the Swap Dealer De…

Co-authors: Stanley V. Polit.

SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans

USA - July 13 2016 On June 28, the Securities and Exchange Commission (SEC) proposed a new rule, Rule 206(4)-4 (the "Proposed Rule") under the Investment Advisers Act…

Co-authors: Richard D. Marshall, Gary DeWaal, David Y. Dickstein , Wendy E. Cohen, Allison C. Yacker.

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