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The U.S. Securities and Exchange Commission (the SEC) adopted Amendments to Form PF (the Amendments) in a three-to-two vote on May 3, 2023, over a decade after Form PF’s initial...
Advertisement And One More Thing: The NFA Adopts Rules Establishing CPO Notice Filing Requirements when a CPO is Unable to Fulfill its Obligations to Participants Tuesday, April 27, 2021 Compliance Rule 2-50: CPO Notice Filing Requirements (Interpretive Notice). 1 The Interpretive Notice details how a commodity pool operator (CPO Member) can comply with newly adopted Compliance Rule 2-50 (the Rule). 2 The Rule and Interpretive Notice detail the circumstances under which a CPO Member must file a notice with the NFA because a commodity pool (or exempt commodity pool) may not be ab...
Introduction Compliance Rule 2-50: CPO Notice Filing Requirements (Interpretive Notice). 1 The Interpretive Notice details how a commodity pool operator (CPO Member) can comply with newly adopted Compliance Rule 2-50 (the Rule). 2 The Rule and Interpretive Notice detail the circumstances under which a CPO Member must file a notice with the NFA because a commodity pool (or exempt commodity pool) may not be able to fulfill its participant obligations. Prompt notification must be given to the NFA no later than 5:00 pm (CT) of the next business day (the Notification Cut-Off), if the CPO Member op...