The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
News & Insights
NFA notified futures commission merchants and introducing brokers of the Financial Action Task Force's adoption of a report on crowdfunding techniques used by terrorist groups to raise money for attacks.
A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
In response to a CFTC request for comments, NFA, FIA and ISDA addressed potential conflicts of interest and other issues related to affiliations between clearing and trading platforms and market intermediaries.