An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
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NFA issued guidance reminding CPOs and CTAs that failure to affirm an active exemption from registration will result in the exemption being withdrawn on March 2, 2023.
NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022.
The NFA Business Conduct Committee issued a complaint against an introducing broker and its CEO for registration and supervision violations.
NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.