On September 29, 2023, the CFTC approved a proposal to amend certain provisions of its regulations relating to commodity pools, specifically Rule 4.7. The proposal would be the first.
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As compliance professionals, we know that “March Madness” has a special meaning beyond the excitement of NCAA basketball. To help you through these upcoming weeks, check out this issue.
Welcome to our February installment of ACA’s Regulatory Update. This month, we share updates relevant to broker-dealers and investment advisers as the SEC adopted amendments to Rule.