FAQs
- Search FAQs
- Arbitration and Mediation
- Compliance
- Investor Information
- NFA Assessment Fees
- Registration
- Annual Filings
- Communications
- Disciplinary Information
- Filing Applications in ORS
- Filing Firm Withdrawal Requests and Notices of Individual Withdrawals in ORS
- Foreign Registrants and Applicants
- General Registration Questions
- Making Changes to Registration Information in ORS
- NFA Membership
- ORS System Requirements and Security Managers
- Proficiency Examinations
- Requirements for FCM/RFED and IB Applicants
- Temporary Licenses
- Regulation
Home
>
FAQs
>
Compliance
>
Enhanced Supervisory Requirements
>
Does a CPO or CTA that qualifies for the enhanced...
Does a CPO or CTA that qualifies for the enhanced supervisory requirements have to meet capital requirements?
Yes. CPOs and CTAs must meet the requirements imposed by the Interpretive Notice 9021 unless the CPO or CTA asks for, and receives, a waiver from complying with the enhanced capital requirement.
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy