March 12, 2010
NFA Regulations and Capital Raising on Agenda
The San Francisco Futures Professionals Group (LinkedIn Group) will be meeting next week to discuss the most recent NFA Regulatory Seminar. Bart Mallon of Mallon P.C. will be providing an overview of the major regulatory items discussed at the seminar including the new NFA rule on social media, issues [...]
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February 16, 2010
Information on Filing Annual Report with NFA
Commodity Pool Operators (”CPOs”) are required to distribute an Annual Report, certified by an independent public accountant, to each participant in each pool it operates (i.e. the investors in the commodity/futures hedge fund) within 90 days after the pool’s fiscal year-end (normally December 31). CPOs are also required under the [...]
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Series 65 and Series 66 Passing Grade Increased
November 27, 2009IA Exams Pass Rates Expected to Plummet
The North American Securities Administrators Association (“NASAA”) recently announced that the two central investment advisor exams (the Series 65 and the Series 66) will become even more difficult. Starting January 1, 2010 candidates will need to attain a score of 72% in order to pass the Series 65 exam [...]