A peer shares the firm's recent document request letter from an NFA exam.
A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.
A peer passes on the firm's NFA exam letter.
This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...
A peer shares what the National Futures Association requested during an exam.
A peer shares a copy of an NFA exam letter sent to a CPO/CTA adviser.
Click here to open a Word file that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...
This is a chart, shared with permission of Bingham, that shows compliance requirements for commodity pool and trading advisers filing various required forms with the ...
This is the so-called Appendix A, which the CFTC eliminated in new rulemaking in 2012. The elimination meant that some fund of funds advisers may ...
A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other ...