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Open Categories Menu The results of the CFTC’s audit of the NFA were released a few weeks ago and we have already begun to see a few changes to the way the NFA operates. Access to BASIC Security Manager Previously newly formed entities which were registering with the CFTC could start the registration [...]
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Posts Tagged ‘ disclosure document ’
26 June
Posted in
Commodities and Futures
CFTC Issues Report on NFA Registration Process
Report Indicates Many Areas Needing Improvement The CFTC registration process is handled almost exclusively by the NFA and last year the CFTC audited the NFA to see how successful the organization was at conducting the registration process. The audit report, issued this week, indicates that the NFA needs to improve [...]
5 December
NFA Proposes that all CPO and CTA Disclosure Documents be Filed Online
CFTC Responds by Proposing Changes to CFTC Regulations Regarding Disclosure Documents The CFTC recently proposed a change to its regulations based on a request from the NFA. The proposed regulations would require CPO and CTA disclosure documents to be submitted only online to the NFA for approval. The CFTC is [...]
