We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Refine your search

Content type

Tags

Author

998 results found

Article

Katten Muchin Rosenman LLP | USA | 9 Sep 2019

FA Proposes Amendments to CTACPO Performance Reporting Requirements and Requirements for All Intermediaries Related to Presenting Hypothetical Results

The National Futures Association proposed amendments to a compliance rule and two interpretive notices governing performance reporting and disclosure

Article

Katten Muchin Rosenman LLP | USA | 6 Sep 2019

NFA Adopts Clarifying Changes to Rules and Interpretive Notices

The National Futures Association (NFA) has filed amendments to its rules and interpretive notices. The purpose of the amendments are primarily (1) to

Article

Katten Muchin Rosenman LLP | USA | 6 Sep 2019

NFA Amends CPO and CTA Performance Reporting and Disclosure Requirements

The National Futures Association (NFA) has filed amendments to NFA Compliance Rule 2-34 and two interpretive notices relating to performance

Article

Schulte Roth & Zabel LLP | USA | 28 Aug 2019

National Futures Association Adopts Interpretive Notices Regarding Internal Controls and Cybersecurity

Effective April 1, 2019, the National Futures Association (“NFA”) recently adopted two interpretive notices that, respectively, impose additional

Article

Katten Muchin Rosenman LLP | USA | 21 Jun 2019

NFA Issues Notice of Annual Surcharge to Certain Member Firms

On June 20, the National Futures Association (NFA) issued Notice to Members I-19-15 (Notice), announcing the approval of a $1,750 annual surcharge

Article

Katten Muchin Rosenman LLP | USA | 16 Jun 2019

NFA Announces September 30 Effective Date for New Supervisory Requirements for Members’ Swap Activities

The recently proposed rule amendment by the National Futures Association extending the supervisory obligations of futures commission merchants

Article

Katten Muchin Rosenman LLP | USA | 24 May 2019

Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments

On May 21, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Bylaw 1301

Article

Katten Muchin Rosenman LLP | USA | 24 May 2019

Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs

On May 21, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Interpretive

Article

Katten Muchin Rosenman LLP | USA | 17 May 2019

Joint Audit Committee Releases Two Regulatory Alerts

On May 14, the Joint Audit Committee (JAC), a representative committee of US futures exchanges and the National Futures Association (NFA), released

Article

Sidley Austin LLP | USA | 28 Mar 2019

New Swaps Proficiency Requirements for All Swap-related Associated Persons

On March 25, 2019, the National Futures Association (NFA) published amendments to NFA Bylaw 301 and Compliance Rule 2-24 to require all associated

Previous page 1 2 3 ...