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 […]
NIBA Chicago 2017 – New topics for discussion
NIBA will be hosting their annual pinnacle event in Chicago on September 14, 2017 at the CME building, 20 S. […]
DOL Fiduciary Rule In Place…For Now
The Department of Labor’s new regime has met some resistance on changing its own Fiduciary Rule that went live on […]
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 […]
Dodd Frank Update
Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and […]
Compliance Reminders
Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every […]