CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading
Advisor Registration Requirements Resulting from the European
Union’s MiFID II Research Compensation ...
natlawreview
8 years ago
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On December 11, at the request of the Futures Industry Association (FIA), the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (Division) issued an interpretive letter regarding the “solely incidental” exclusion from registration as a commodity trading advisor (CTA).
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