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The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
Taking this action will stop future NFA notices alerting you to file Form PR
The SRO provides two steps to check on registration/exemption status
Gain greater insight into how to do your break-even analysis for the NFA
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
New rules take effect with the first of the year
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years. The ...