Introducing Broker Compliance Reminders
June 30 1FRs Due to NFA on July 24, 2015. This semi-annual unaudited financial statements must be submitted 17 business […]
CTA Expo – Chicago 2015
The CTA Expo is a conference designed to provide CTAs and FX Traders the foundation of knowledge they need from […]
National Introducing Broker Association Conference – Chicago 2015
The National Introducing Broker Association was established in 1991 and is one of the foremost, nationally recognized organizations representing professions […]
Futures and Options Expo – Chicago 2015
The FIA Futures & Options Expo is now in it’s 31st year and will convene in Chicago this November. Attended […]
CFTC Rule 1.22 Garners Final Approval – FCMs
In what is seen as a victory for FCMs and its customers, the CFTC approved a final rule addressing the […]
NFA Pool Audit – Liquidating Rules
An NFA pool that has ceased operation prior to, or as of, the end of the fiscal year, the CO […]
CPO Compliance Changes
Now is an excellent time to contact your auditor to prepare for year end. Contacting and engaging now allows auditors […]
CPO and CTA Compliance Reminders
Per NFA Compliance Rule 2-46, CPOs and CTAs are to electronically file Forms PQR and PR (as applicable) with NFA […]
Annual Certified Audit Reminders – Introducing Brokers and SWAP…
Now is an excellent time to contact your auditor to prepare for year end. Contacting and engaging now allows auditors […]