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650 results found

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 | 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

Article

Ropes & Gray LLP | USA | 27 Mar 2019

CFTC Adopts Swaps Proficiency Exam Requirement for Associated Persons of Asset Managers

On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time

Article

Eversheds Sutherland (US) LLP | USA | 18 Mar 2019

NFA proposes proficiency requirements for Swap APs

On March 5, 2019, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC or Commission) proposed

Article

Katten Muchin Rosenman LLP | USA | 17 Mar 2019

NFA Proposes New Rule Formally Requiring Swap Dealer Supervision of Employees and Agents

The National Futures Association formally proposed a new rule provision and interpretive notice requiring swap dealers and major swap participants

Article

Greenberg Traurig LLP | USA | 11 Mar 2019

CFTC and NFA Commodities Regulatory Update

Departing from its historical practice but following the approach taken by the SEC and FINRA, the Commodity Futures Trading Commission (CFTC) on Feb

Article

Katten Muchin Rosenman LLP | USA | 10 Mar 2019

NFA Seeks Smarter Swaps APs Through New Training Requirements

The National Futures Association proposed an amended bylaw and rule, as well as a new Interpretive Notice, requiring that all associated persons of

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