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The CTAExpo will be hosting a special program on April 29, 2014 at the New York Stock Exchange.  Mike Coglianese […]

When filing the annual amendment, managers who no longer qualify for SEC registration must withdraw their SEC registration within 180 […]

As of September 23rd of this year, the SEC issued a new rule under Regulations D.  SEC rule 506(c) permits […]

Effective December 21, 2013 CFTC Regulation 1.35(a)  will require FCMS, certain IBs, and RFEDs to tape record all oral communications […]

The National Futures Association has increased the late fees for submission of its regulatory filing to $1000.00 each business day […]

If you are a CPO and claim an exemption or exclusion from registration under CFTC Regulation 4.5, 4.13(a)(1), 4/13(a)(2), 4.13(a)(3), […]

The Foreign Account Tax Compliance Act will require certain financial institutions to identify and disclose direct and indirect U.S. investors […]

Beginning September 23rd, 2013 all CPOs and CTAs are permitted to use a Disclosure Document for up to 12 months […]

Beginning December 21st, 2013, all FCMs, certain IBs, and RFEDs must begin to tape record all oral communications provided and/or […]