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4.13a4 - Exemption eliminated no longer available 4-9-14 NFA said on phone
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DOC
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13 KB
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Apr/10/2014
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Accountant Bookkeeper Tax Preparer and Auditor Referrals From NFHLaw - 2-15-2011
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DOC
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44 KB
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Feb/17/2011
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Adopting Release 8-8-03 CFTC Exemptions - Regulatory Relief List foi030808a
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PDF
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116 KB
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Jun/05/2005
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Alphmetrix Sued by Receivers - Article in Crains April 2014
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PDF
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327 KB
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Apr/16/2014
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Blue Sky Filing Chart Reg D 506(b) and 506(c) - Summary - Velocity Law - Nancy Fallon-Houle - As of 3-22-16
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PDF
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48 KB
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Mar/21/2016
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Business and Securities Lawyer Practice - Nancy Fallon-Houle P C - Short Description - 5-8-14
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DOC
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24 KB
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May/08/2014
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CFTC Final Rules for Regst. Relief to CPOs and CTAs 10-24-05
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PDF
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281 KB
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Oct/24/2005
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CFTC Release - Form PF
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PDF
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1.14 MB
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May/09/2012
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CFTC Rule 4.27 Sidley Austin Article -2-14-12
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PDF
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214 KB
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May/09/2012
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CFTC Rule 4.27 Summary - Eliminate Private Fund Exemption, etc
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DOC
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13 KB
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May/03/2012
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CPO Filing Fees, Registration, Etc.
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PDF
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474 KB
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Apr/07/2010
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CPO and AP NFA Registration Requirements - 1-29-14
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DOC
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22 KB
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Jan/29/2014
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CPOs and CTAs - CFTC Staff Round Table 7-6-11
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DOC
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18 KB
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Jul/08/2011
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Compliance Seminar for FOrex IBs, CPOs and CTAs 6-8-11 Webinar
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DOC
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14 KB
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Jun/08/2011
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Disclosure Document Rules NFA
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PDF
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240 KB
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Mar/01/2006
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Disclousre Document Submission email address for CPOs and CTAs
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DOC
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19 KB
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Jul/11/2007
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Exemption - De Minimis - 10% Futures or Less - Rule 4.12
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PDF
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19 KB
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Oct/12/2010
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FINRA - FINRA Entitlement Program
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PDF
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477 KB
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Apr/07/2010
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Form PF Notes
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DOC
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49 KB
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May/09/2012
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Form PF
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PDF
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553 KB
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May/09/2012
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Form U10
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PDF
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33 KB
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May/13/2010
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Form7-R-entire NFA Template for Firm
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PDF
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116 KB
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Mar/11/2006
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Form8-R-entire NFA Template for Individuals
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PDF
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229 KB
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Mar/11/2006
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Futures Threshold Test
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DOC
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38 KB
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Apr/08/2010
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Futures Trading Disclosure Rules - 1996 Revisions
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PDF
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155 KB
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Mar/01/2006
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Guide to NFA Compliance Rule 2-29, Promotional Material
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PDF
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213 KB
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Jul/13/2007
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IQS Futures Fund Offering Memorandum
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PDF
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335 KB
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Jun/26/2012
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NFA - Procedure for Withdrawing a Non-Registrant Entity
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DOC
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48 KB
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Jan/10/2011
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NFA 4 Key areas of online Fund Registratio to update quartlerly
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PDF
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64 KB
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Apr/30/2010
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NFA Compliance Service - Kate Dressel
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PDF
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42 KB
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Jun/29/2011
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NFA Disclosure Documents Guide for CPOs and CTAs
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PDF
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188 KB
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Jul/13/2007
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NFA Easy File How to Set up Easy File Securite and give others access
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DOC
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13 KB
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Mar/11/2013
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NFA Enrollment Process Information - 4-7-10
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PDF
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662 KB
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Apr/07/2010
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NFA Enrollment, Entitlement, Fund Filing
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DOC
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93 KB
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May/31/2012
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NFA Enrollment, Entitlement, Registration 7R and 8R, Fund Filing
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DOC
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94 KB
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Jun/01/2012
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NFA MembApp
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PDF
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34 KB
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Jan/31/2008
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NFA New Rules Memo 6-22-12 regardind CPOs and CTAs
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PDF
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26 KB
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Sep/09/2012
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NFA Payment Options to Open Entitlement Account
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DOC
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26 KB
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Feb/22/2006
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NFA Pool Exemptions Chart - 11-23-10
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PDF
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19 KB
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Nov/23/2010
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NFA Registration Requirements for CTA, CPO and APs
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DOC
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34 KB
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Mar/11/2006
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NFA Regulatory Requirements for FCM, IB, CPO and CTA
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PDF
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230 KB
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Jul/13/2007
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NFA Requests Deleting CPO Exemptions - 2-9-11 - Morgan Lewis Law Flash
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DOC
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25 KB
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Apr/01/2011
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NFA Risk Disclosure Statement for Security Futures Contracts
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PDF
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90 KB
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Jun/26/2012
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NFA Self-Examination Checklist for FCM, IB, CPO and CTA
|
PDF
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278 KB
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Jul/13/2007
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NFA Webinar Link and info for CTA and CPO registrations 8-16-12
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DOC
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15 KB
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Nov/07/2012
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NFA Webinar about previously exempt pools
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PDF
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11 KB
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Dec/02/2012
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NFA exemptions for CPOs and CTAs Rules 4.5, 4.7, 4.12, 4.13, 4.14(a)(8) - Rescinded 4.13(a)(4)
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PDF
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83 KB
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Jun/01/2012
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NFA's 2013 Annual Review
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PDF
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3.41 MB
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Jan/21/2014
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NFA-membership-and-dues
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PDF
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83 KB
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May/31/2012
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NFA_RULE_2_46_webinarV4_9 [Read-Only]_824761
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PDF
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1.81 MB
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Apr/30/2010
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Online instruction process for NFA Registration
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PDF
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43 KB
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Apr/07/2010
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Principals - Definition - NFA
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DOC
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15 KB
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May/31/2012
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Principals Exemption corrected definition 11-17-10 - NFA
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PDF
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30 KB
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Nov/22/2010
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Qualified Eligible Purchaser - for Rule 4.7 CFTC Exemption
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DOC
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55 KB
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Mar/24/2006
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Rule 14.13(a)(3) Rescinded
|
DOC
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50 KB
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Nov/23/2010
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Rule 2-41 - Forex Pool Operators and Trading Advisors
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DOC
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14 KB
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Oct/24/2008
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Rule 2-42 - Forex Pool Reporting
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DOC
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11 KB
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Oct/24/2008
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Rule 4. 7 Exemption for QEP Fund
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DOC
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61 KB
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Jun/05/2005
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Rule 4.12 Securities Pool Exemption
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DOC
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28 KB
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Jun/05/2005
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Rule 4.12
|
DOC
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125 KB
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Apr/20/2012
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Rule 4.13 Exemtions - Closely Held, Small Pool $400K, Deminimus 15 or less, and all QEP Pools
|
DOC
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38 KB
|
Jun/05/2005
|
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Rule 4.13(a)(3) and (4) REPEALED and Rule 4.7 ACTIVE - Exemption Summary
|
DOC
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15 KB
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Jul/30/2012
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Rule 4.13
|
DOC
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124 KB
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Apr/20/2012
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Rule 4.5 Exemption for Regulated Industry Fund
|
DOC
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29 KB
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Jun/05/2005
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Rule 4.8 Exemption - Reg D or 1933 Act exempt funds
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DOC
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22 KB
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Jun/05/2005
|
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SEC Guidance on Use of Fund Names - 11-2013
|
PDF
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51 KB
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Nov/26/2013
|
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SO-Series30
|
PDF
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77 KB
|
Nov/14/2005
|
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Securities and Futures Regulation and Exemptions - Private Futures Funds - 4-1-11
|
DOC
|
35 KB
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Apr/01/2011
|
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Security Manager Enrollment Form for Opening NFA Entitlement Account - First Time
|
DOC
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201 KB
|
Mar/24/2006
|
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Series 31 as an alternative to Series 3 info from NFA
|
DOC
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26 KB
|
Mar/01/2006
|
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Space Between Walls - Speech by Chilton of CFTC 5-2012
|
PDF
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175 KB
|
May/03/2012
|
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Study Outline Series Series 30
|
DOC
|
28 KB
|
Nov/14/2005
|
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Withdrawing an Individual or Firm or Branch Office from the NFA
|
DOC
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49 KB
|
Feb/17/2011
|
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part4 of CFTC Including Rule 4.7 QEP Exemption
|
PDF
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247 KB
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Mar/21/2006
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