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Searching Content indexed under Wealth & Asset Management by Jeremy A. Liabo ordered by Published Date Descending.
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NFA Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam requirement
United States
10 May 2019
2
CFTC Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam ...
United States
8 Apr 2019
3
New Disclosure Requirements For NFA Members Engaging In Virtual Currency Activities—Action Required
On August 9, 2018, the National Futures Association ("NFA") announced that, effective October 31, 2018, NFA members are required to make additional disclosures in connection with their virtual currency activities ...
United States
14 Aug 2018
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