NFA set the effective date of September 30, 2021, for a recently adopted interpretive notice concerning members' use of third-party service providers.
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NFA approved the adoption of a new interpretive notice that requires CFTC-registered firms that outsource regulatory obligations to implement a written supervisory framework governing the outsourcing arrangements.
NFA announced the effective date of rule amendments designed to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
A company and several associates settled CFTC charges for failing to register as commodity trading advisors while offering foreign currency transactions to retail customers.
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.