Navigating SEC and NFA Examinations with Mock Exams
KPMG joined the IAA for a presentation on conducting mock exams to help advisers navigate SEC and NFA examinations.
May 02, 2024
Tags: Examinations, NFA
The National Futures Association (NFA) has announced in a Notice to Members that Interpretive Notice 9079 – NFA Compliance Rules 2-9 and 2-36: Members’ Use of Third-Party Service Providers governing outsourcing will become effective on September 30, 2021.
April 13, 2021
NFA Permits Gross Performance in Advertisements by CTAs Also Registered as SEC Advisers
The NFA Board has amended NFA Compliance Rule 2-29: Communications with the Public and Promotional Material and issued related interpretive guidance.
April 27, 2020