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1,088 results found

Article

K&L Gates LLP | USA | 8 Jan 2021

Swaps Compliance Training and Testing Due 31 January 2021

By a Notice to Members dated 5 January 2021, the National Futures Association (NFA), the self-regulatory organization for the U.S. derivatives…
Article

Katten Muchin Rosenman LLP | USA | 8 Jan 2021

NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements

On January 5, the National Futures Association (NFA) issued Notice I-21-01, reminding member firms that the compliance date for NFA’s Swaps…
Article

Katten Muchin Rosenman LLP | USA | 11 Dec 2020

NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements

On December 8, the National Futures Association (NFA) issued Notice I-20-45 to remind member firms that the compliance date for NFA’s Swaps…
Article

Katten Muchin Rosenman LLP | USA | 4 Dec 2020

New NFA Interpretation Requires Approval of Swap Marketing Materials

On December 2, the National Futures Association (NFA) submitted a new Interpretive Notice to the Commodity Futures Trading Commission (CFTC) for…
Article

Cadwalader Wickersham & Taft LLP | USA | 2 Dec 2020

NFA Reminds Registrants of Annual Affirmation Requirement for CPO or CTA Registration Exemptions

NFA reminded registrants that the upcoming annual affirmation deadline for entities claiming exemption from CPO or CTA registration is March 1, 2021…
Article

Cadwalader Wickersham & Taft LLP | USA | 2 Dec 2020

NFA Proposes New Marketing Requirement for Swap Dealers

NFA proposed a new interpretive notice to NFA Compliance Rule 2-9(d) ("Supervision") that would require Swap Dealers ("SDs") and major swap…
Article

Cadwalader Wickersham & Taft LLP | USA | 25 Nov 2020

NFA Highlights Regulatory Developments for 2020

In its 2020 Annual Review, NFA highlighted several regulatory actions and provided statistics on investigations and enforcement…
Article

Schulte Roth & Zabel LLP | USA | 26 Oct 2020

NFA Updates Annual Questionnaire

National Futures Association member commodity pool operators are required to update their “Annual Questionnaire” — an online template that aggregates…
Article

Katten Muchin Rosenman LLP | USA | 9 Oct 2020

NFA Issues Notice on Expiration of Temporary Relief from Fingerprinting Requirements

On October 6, the National Futures Association (NFA) issued Notice I-20-37 to announce changes to the no-action relief that had previously been…
Article

Katten Muchin Rosenman LLP | USA | 9 Oct 2020

NFA Issues Notice on Effective Dates of Amendments to Code of Arbitration and Member Arbitration Rules

On October 6, the National Futures Association (NFA) issued Notice I-20-36 to announce the effective dates of several amendments to the NFA’s Code of…
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