In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.
News & Insights
8 News Results
NFA extended relief from certain recordkeeping requirements to futures commission merchants / introducing brokers, swap dealers and forex dealer members.
NFA extended relief previously provided to futures commission merchants / introducing brokers, swap dealers and forex dealer members from certain recordkeeping requirements.
NFA issued relief from certain recordkeeping requirements to futures commission merchants / introducing brokers, swap dealers and forex dealer members.
NFA highlighted certain regulatory obligations and available resources for (i) CPOs/CTAs, (ii) swap dealers, and (iii) futures commission merchants, forex dealer members and introducing brokers.