April 11, 2021

Volume XI, Number 101

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April 09, 2021

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April 08, 2021

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NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters

On February 8, the National Futures Association (NFA) released three Notices to Member that cover educational resources, common regulatory and compliance deficiencies, and recent amendments to NFA Rules and Interpretative notices, each aimed at a different audience, as indicated below. These Notices are intended to assist members in efficiently and effectively meeting their regulatory obligations.

Notice I-21-06 is for swap dealers; Notice I-21-07 is for futures commission merchants, forex dealer members, and introducing brokers; and Notice I-21-08 is for commodity pool operators and commodity trading advisors.

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©2021 Katten Muchin Rosenman LLPNational Law Review, Volume XI, Number 43
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About this Author

Kevin M. Foley, Finance Lawyer, Katten Llaw Firm
Partner

Kevin M. Foley has extensive experience in commodities law and advises a wide range of clients, both in the United States and abroad, on compliance with the Commodity Exchange Act and the rules of the Commodity Futures Trading Commission (CFTC) affecting traditional exchange-traded products, as well as the over-the-counter markets involving swaps and other derivative instruments. His clients include futures commission merchants, derivatives clearing organizations, designated contract markets, foreign boards of trade and an industry trade association.

...

312-902-5372
Elizabeth Organ Financial Markets and Funds Katten Muchin Rosenman New York, NY
Associate

Elizabeth Organ represents clients across the financial services industry, with a focus on regulatory compliance and advice. Liz's background positions her to provide valuable legal counsel on transactional and regulatory matters relating to commodities and derivatives, investment management, and cryptoassets and distributed ledger products.

Helping clients address complex regulatory and legal challenges

Liz assists clients with a range of financial services regulatory matters, collaborating with legal staff, business executives and regulators alike to pursue...

212.940.6561
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