United States: NFA Updates CPO Quarterly Reporting Form - Cadwalader, Wickersham & Taft LLP

Mondaq

10 Dec 2020 0 shares 1 views

Mondaq

Published 10 Dec 2020

NFA updated its Form PQR to conform to recent CFTC amendments (see previous coverage) to Form CPO-PQR.

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United States: SEC Adopts Amendments To Investment Adviser Marketing Rule - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Dec 2020

The SEC adopted amendments under the Advisers Act for the advertising and cash solicitation rules, the books and records rule, and..

NFA reminded registrants that the upcoming annual affirmation deadline for entities claiming exemption from CPO or CTA registration..

Mondaq 08 Dec 2020

In its 2020 Annual Review, NFA highlighted several regulatory actions and provided statistics on investigations and enforcement.

Mondaq 02 Dec 2020