From June 1 – June 2, NFA will host its annual Member Regulatory Workshop for Commodity Pool Operators, Commodity Trading Advisors, Futures Commission Merchants, Forex Dealer Members, Introducing Brokers and Swap Dealers. This year’s program will be entirely virtual and,…
The Broker Dealer Exemption Report – webinar October 15
October 15 – 1:00 PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop will provide an in-depth look at the SEC and PCAOB requirements related to the broker-dealer’s exemption report. You will…
Webinar -The Broker-Dealer Exemption Report. Understanding the requirements of the SEC and PCAOB
August 27 – 4:30PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop will provide an in-depth look at the SEC and PCAOB requirements related to the broker-dealer’s exemption report. You will go…
Upcoming Events for Introducing Brokers, Pool Operators, and Commodity Trading Advisors
Save the Dates! Ideal for Introducing Brokers, both new to the industry and seasoned, the National Introducing Broker Association will be hosting their New York Annual Spring Conference on Wednesday, April 10th at the New York Athletic Club. The complete…