NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
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NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.
NFA filed with the CFTC proposed amendments to the examination requirement for branch office managers and designated futures principals that engage in swap activities.
NFA notified members that it would not pursue disciplinary actions if a firm allows associated persons to temporarily work from home under business contingency plans, provided that the firm institutes adequate supervisory methods and meets its recordkeeping requirements.