The NFA issued three notices covering regulatory obligations, recent amendments and rule interpretations for (i) FCM, FDM and IB Members, (ii) CPO and CTA Members and (iii) Swap Dealer Members.
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.
NFA notified futures commission merchants and introducing brokers of the Financial Action Task Force's adoption of a report on crowdfunding techniques used by terrorist groups to raise money for attacks.
A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.