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.
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NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.
The National Futures Association proposed amendments to its registration rule on certifications, acknowledgements, agreements and representations.
On September 15, 2017, amendments to NFA registration rules became effective.
The National Futures Association filed proposed amendments with the CFTC concerning certain registration rules.