News

As of July 12, 2014 all FCMs must make financial information available on their websites.  The information must include: The […]

Due to the rescission of Regulation 4.13(a)(4) which had provided exemption from registration to certain types of CPOs, the CFTCs […]

With the passage of the Dodd Frank Act, the SEC has made clear the intent to focus its examinations and […]

CFTC Regulation 1.73 affects IBs and FCMs that execute orders for customers. Therefore, IBs meeting the qualifying requirements who execute […]

The CFTC recently adopted final rules concerning certain compliance obligations for CPOs of RICs under the Investment Company Act of […]

The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the […]

CTA Expo will be hosting their conference in Chicago on September 19, 2013. It will be held at the UBS […]

Save the Date for one of the best networking opportunities in the Futures and Hedge Fund community.  The Traders Exchange […]

December 4, 2012 NFA has issued a notice to persons that are relying on exemptions or exclusions from registration as […]