Senator John Kennedy (R-LA) introduced the "Protecting Investors' Personally Identifiable Information Act." The legislation would exclude personally identifiable information from Consolidated Audit Trail reporting requirements.
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In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.
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.