Traders Exchange Event – Save the Date
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Introducing Broker Compliance Reminders
It is imperative for all Introducing Brokers to remain in compliance with current NFA regulations or face hefty fines. We […]
CPO and Hedge Fund Reminders – Financial Statements Must…
NFA has recently been identifying and advising CPOs with regard to making sure their financial statements are in compliance with GAAP […]
National Introducing Broker Association Meeting – Chicago – July
Together with DePaul University, NIBA will be hosting an afternoon meeting on Tuesday, July 8, 2014 at the Arditti Center, […]
NFA Proposes Lower FCM Assessment Fees
NFA has recently submitted a proposed amendment of NFA Bylaw 1301 to the CFTC. The proposed amendment includes decreases in […]
Public Information Deadline for FCMs
As of July 12, 2014 all FCMs must make financial information available on their websites. The information must include: The […]
New Process for Registration No-Action Relief for CPOs
Due to the rescission of Regulation 4.13(a)(4) which had provided exemption from registration to certain types of CPOs, the CFTCs […]
SEC Targeting Deficiencies in RIA Compliance Programs in 2014
With the passage of the Dodd Frank Act, the SEC has made clear the intent to focus its examinations and […]
Introducing Brokers, FCMs, Swap Firms affected by CFTC Reg.…
CFTC Regulation 1.73 affects IBs and FCMs that execute orders for customers. Therefore, IBs meeting the qualifying requirements who execute […]