Housekeeping, Reminders and Updates–Jan 2015

NATIONAL FUTURES ASSOCIATION On January 15, 2015 the National Futures Association (“NFA”) released Notice to Members I-15-02 (“Notice”) regarding commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) exempt from registration and their obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d). Members operating pursuant to an exemption are required to annually affirm the applicable notice of exemption. The Notice provides details pertaining to Commodity Futures Trading Commission (“CFTC”) Regulations, which require the annual affirmation to be completed within 60 days of each calendar year end. NFA Members are required to file the affirmation notice by March 2, 2015. Failing…

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