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 […]
CFTC Adopts Harmonizing Rule for CPOs of Registered Investment…
The CFTC recently adopted final rules concerning certain compliance obligations for CPOs of RICs under the Investment Company Act of […]
“Red Flag” Rules apply to FCMs, CTAs, CPOs, BDs,…
The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the […]