A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.
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In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.
A CFTC-registered introducing broker settled NFA charges for failing to maintain complete records and allowing an unregistered individual to operate as an associated person.
NFA set the effective date of September 30, 2021, for a recently adopted interpretive notice concerning members' use of third-party service providers.
NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.