NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
News & Insights
28 News Results
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.
A CFTC-registered swap dealer settled NFA charges for rule violations concerning posting variation margin on swaps and supervision over external business conduct.
NFA reminded futures commission merchants, introducing brokers, CPOs and CTAs of their ongoing disclosure and reporting requirements when engaging in virtual currency activities.
In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.