NFA Updates CPO Form PQR and CTA Form PR
Effective June 30, 2015, NFA has enhanced the Form PQR for CPOs and Form PR for CTAs based on feedback […]
CFTC Asks Congress for Additional Funds
According to the head of the CFTC, Timothy Massad, they simply cannot afford routine inspections, including inspections of exchanges and […]
NFA Audit Examinations – Reminders
Based on feedback we are hearing from our clients who have undergone recent NFA Surprise Examinations, there are a few […]
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 […]