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Risk Metrics for FCMs That Do Swaps

NFA Financial Requirements Section 17 requires swap dealers (SD) and major swap participants (MSP) to file the financial, operational, risk management […]

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Dodd Frank Update

Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and […]

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Compliance Reminders

Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every […]

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Important Regulatory Deadlines

NFA Certified Audit Deadlines   Introducing Brokers must file their annual certified audit no less than 90 days after fiscal […]

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