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CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for CPOs and CTAs

USA - January 9 2020 At an open meeting held on November 25, 2019, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) adopted two sets of final…

John M. Baker, Nicole Simon, Ruth S. Epstein, Stephen LaChine.

National Futures Association Takes Step Toward Developing Proficiency Requirements for Swap APs

USA - June 6 2018 On June 5, the National Futures Association (NFA) announced that it will begin developing a proficiency requirement program to be launched in early…

Nicole Simon, Ruth S. Epstein.

FINRA proposes requirement to deliver educational communication to customers of a transferring representative

USA - June 5 2015 The Financial Industry Regulatory Authority (FINRA) recently issued Regulatory Notice 15-19(Notice) seeking comments on a proposed rule that would…

Lawrence P. Stadulis.

FINRA issues new advertising Q&As

USA - May 27 2015 FINRA issued Regulatory Notice 15-17 on May 22, announcing the publication of several new and updated advertising Q&As. A brief summary of these Q&As…

Lawrence P. Stadulis.

CFTC enforcement action against energy company acting as unregistered CTA — words to the wise for investment advisers relying on CTA exemptions

USA - March 20 2015 A recent enforcement action by the Commodity Futures Trading Commission (CFTC) serves as a reminder of the importance the CFTC places on registration…

Gregory D. DiMeglio, Jeffrey E. McFadden, Ruth S. Epstein, Shanna B. Bayer.