NFA Compliance & Regulatory Workshop June 1 and 2nd

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,…

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Audit Brief: New Disclosures Required for 2022

Starting in fiscal year 2022, all entities — except nonprofit organizations in the scope of Topic 958, Not-for-Profit Entities, and employee benefit plans — must provide detailed disclosures about government assistance. Here are the details of the new rules. Defining government…

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NFA Compliance: Exam Relief Extended

Due to the ongoing COVID-19 pandemic, NFA has allowed Members to conduct all calendar year 2020 and 2021 annual inspections of branch offices and guaranteed introducing brokers remotely.  NFA has recently extended this relief through the end of 2022. Members…

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