NFA Annual Review summarizes past year highlights and looks forward to coming attractions

By Brad Rosen, J.D.The National Futures Association issued its 2018 Annual Review with a focus on the organization’s significant initiatives for the past year as well as a preview for coming attractions. The Annual Review, which covers the NFA’s fiscal year ending June 30, 2018, was released with little fanfare, apparently the day after Thanksgiving. It summarized enforcement activities as well as initiatives regarding the association’s emerging role as a swaps overseer. The review also looked to a number of other undertakings that are part and parcel of NFA’s regulatory mission. A self-regulator’s year in enforcement. According to the Annual Review, NFA’s enforcement activities in fiscal year 2018 yielded the following results:NFA’s Business Conduct Committee issued 17 complaints against 27 respondents. This compares to 14 complaints brought against 24 respondents in fiscal year 2017.NFA’s disciplinary panels issued 16…

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