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Friday February 5, 2016
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Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration

The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC

SEC’s 2016 examination priorities include new and ongoing focus areas

The SEC has issued a document outlining its priorities for examinations carried out in the upcoming year for its Office of Compliance Inspections and Examinations. OCIE’s priorities in 2016 include

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