The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
News & Insights
165 News Results
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
NFA set an effective date of May 31, 2023 for recently adopted rules which establish requirements applicable to firms engaging in "digital asset commodity" activities.
A CPO/CTA settled CFTC charges of supervisory failures that allowed “disruptive, reckless, and disorderly” employee trading practices.
A CPO/CTA, operating a pool that invests in digital assets, settled CFTC charges for late and inaccurate statements to pool participants and NFA, and related supervisory violations.