News

Did you know leap years are needed to keep our calendar in alignment with the Earth’s trip around the sun? […]

The SEC and Finra are hosting their 2019 National Compliance Outreach Program for Broker Dealers on June 27th in Chicago.  […]

In anticipation of the withdrawal of the UK and Northern Ireland from the European Union, the CFTC’s DSIO, announced they […]

Effective Date:  January 31, 2020 NFA  has recently amended NFA Bylaw 301 and NFA Compliance Rule 2-24 as well as […]

The NFA has put out an updated list of jurisdictions that are deficient in anti-money laundering and anti-terrorism rules.  There […]

Pending approval by the CFTC , NFAs Board of Directors has approved an annual dues surcharge of $1,750.00 on Certain […]

In January of this year, the NFA adopted an interpretive Notice regarding Internal Control Systems for Commodity Pool Operators (Rule […]

Even if you consider yourself a morning person, we can all agree mornings come far sooner than we’d like.  That […]

Below is a summary of just some of the important requirements for Introducing Brokers.  Note this does not reflect all […]