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Open Categories Menu Proposes Amendments to Bylaw 301(a)(iii) On June 9th, 2009, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC) proposed amendments to NFA’s Bylaw 301(a)(ii) regarding eligibility for membership. The proposed addition states that if any member fails to have at least one principal that is registered [...]
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Posts Tagged ‘ Associated Person ’
16 June
Posted in
Commodities and Futures, Forex
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NFA Proposes New Amendments to Bylaw Governing NFA Membership
5 February
Posted in
Forex, Legal Resources
NFA Fingerprint Cards
Information on Requesting and Submitting NFA Fingerprint Cards Those persons who are registering with the CFTC in any capacity (Associated Person of a CPO, CTA, IB) will need to submit fingerprint cards to the NFA prior to their registration being effective. It is also likely that the new forex registration [...]
14 August
Posted in
Forex, Legal Resources
How to register as a CPO or a CTA
Many hedge fund managers choose to utilize futures and/or commodities in their trading purposes. Generally such managers will need to register as commodity pool operators (“CPO”) and as commodity trading advisors (“CTA”). The hedge fund itself will be deemed to be a commodity pool. For purposes of the Commodities Exchange [...]
