Broker Dealer Certified Audit Due Date and Compliance Checklist
Broker Dealers must submit an annual independent certified audit to both FINRA, the SEC, and SIPC (if applicable). These annual […]
Commodity Trading Advisor Compliance Checklist
A Commodity Trading Advisor is required to meet all compliance regulations on an annual basis along with quarterly reporting. Below […]
Futures Commission Merchants – Audit Due Date and Compliance…
Futures Commission Merchants are required to submit an annual certified audit performed by an independent accountant to the NFA. The […]
Registered Investment Advisers–SEC Custody Exam Requirements
Registered Investment Advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the […]
Independent Introducing Broker and FCM Annual AML Audit Reminder
On an annual basis, Independent Introducing Brokers and Futures Commission Merchants are required to have an independent review of their […]
NFA Reminder: Updates to the Individual Application Process Now…
On Monday, Sept. 18, 2017, the NFA launched an updated individual application process in its Online Registration System (ORS). The updated […]
DOL Fiduciary Rule: Will it happen?
The Department of Labor’s Fiduciary Rule has met resistance throughout its development, but the head winds are strongest under the […]
SEC T+2
The SEC recently implemented its T+2, its move to a two-business day settlement cycle (down from T+3). As the futures […]
CTA Expo Chicago – Join Mike Coglianese for a…
The CTA Expo Emerging Manager Forum will be held in Chicago on September 14, 2017 at the UBS Center, One […]