Web(1) An itemized daily record of each commodity interest transaction of the commodity trading advisor, showing the transaction date, quantity, commodity interest, and, … Webthe handling by its employees and agents of commodity interest accounts carried by Respondent and introduced by Respondent’s Guaranteed Introducing Brokers (“the GIBs”), as well as the activities of its employees and agents relating to its business as a registered FCM, to ensure
eCFR :: 17 CFR Part 4 Subpart C -- Commodity Trading …
WebDec 13, 2000 · The Commission has determined to add a new Rule 4.32 to permit registered CTAs to enter trades on or subject to the rules of a DTF on behalf of a non-institutional client, provided that the CTA: (1) Directs the client's commodity interest account; (2) directs accounts containing total assets of not less than $25 million at the time the trade … Web(i) Keep full, complete, and systematic records (including all pertinent data and memoranda) of all transactions relating to its business of dealing in commodity … guns in grounded
Registration and Compliance Requirements for Commodity Pool …
WebThe CFTC recently amended CFTC Regulation 4.27 to no longer require commodity trading advisors (CTA) that solely direct trading of pools for which the firm operates as a … WebNFA Compliance Rule 2-9 places a continuing responsibility on every Member futures commission merchant (FCM), commodity trading advisor (CTA), commodity pool operator (CPO), and introducing broker (IB) to diligently supervise its employees and agents in all aspects of their commodity interest activities. WebMar 22, 2024 · When opening an account, the first thing to do is to decide on a commodity brokerage firm. The brokerage company will hold your account and execute your trades. … box beads