DOL Delays Fiduciary Rule…again
The DOL has delayed the effective date of three major compliance regulations by 18 months. However, the rule is still […]
Still Early in Bitcoin Infrastructure For Traders
“[Bitcoin’s] worse than tulip bulbs. It won’t end well. Someone is going to get killed.” Chase CEO Jamie Dimon “Bitcoin […]
CFTC Holds Liquidity Stress Tests on Various Exchanges
The CFTC held liquidity stress tests on CME Clearing, ICE Clear U.S., and LCH, Ltd. clearinghouses and here are its […]
NFA’s Executive Committee Recommends Increase to NFA’s Assessment Fee
On October 19, NFA’s Executive Committee voted to recommend to NFA’s Board of Directors (Board) an increase in NFA’s assessment […]
Independent Introducing Broker – Compliance Checklist and Certified Audit…
Independent Introducing Brokers are required to submit an annual certified audit to the National Futures association. The due date depends […]
Commodity Pool and Hedge Fund Audit Due Date and…
Non-exempt Commodity Pools must submit a certified audit on an annual basis to the National Futures Association. The audit must […]
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 […]