The North American Securities Administrators Association extended its waiver of Investment Adviser Registration Depository system fees on state-registered investment adviser firms in 2022.
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In an open meeting, the CFTC approved three final rules: (i) one concerning position limits for derivatives, (ii) one extending the Phase VI compliance date of the margin requirements for uncleared swaps for swap dealers and major swap participants, and (iii) one exempting certain foreign intermediaries from the requirement to register as CPOs.
FINRA provided clarification to member firms on reviewing, adjusting and responding to their "Final Statements" and renewal reports.
NFA reminded firms that are engaged in swaps activities to pay the new annual dues surcharge by January 1, 2020.
The North American Securities Administration Association will continue to waive Investment Adviser Registration Depository system fees for state-registered investment adviser firms in 2020.