Red Flag Rules: Deadline for FCMs, CPOs, Broker Dealers,…
On November 20, 2013 all FCMs, CPOs, Broker Dealers, CTAs, and certain Investment Advisers must comply with new regulations put […]
Compliance Workshop–CTA Expo 2013 Chicago
Michael Coglianese will be hosting a Compliance Workshop at the CTA Expo on September 19, 2013 from 2:00 p.m. to […]
Trading Swaps–CFTC Issues Final Rules
Three rules have recently been finalized under the Dodd-Frank Act regarding trading of swaps on organized facilities. SEF Core Principles […]
Private Funds Now Have Ability to Advertise
As of September 23, 2013 issuers will be able to promote non-registered securities offerings using print, display, and electronic media. […]
Hurricane Sandy Prompts Regulators to Issue Review of Firms’…
The CFTC, SEC and FINRA joined together to issue a staff advisory on business continuity and disaster recovery planning. NFA […]
Introducing Brokers and Forex Dealer Members Face Significant Increase…
The NFA has submitted a proposal to the Commodity Futures Trading Commission regarding an increase to fees for late financial […]
National Introducing Brokers Association Conference-Chicago 2013
The National Introducing Broker Association will be hosting their annual Chicago conference on September 18, 2013. The morning sessions will […]
CPO and CTA Quarterly Reporting Amendments
NFA member CPOs are required to file on a quarterly basis Form PQR disclosing certain information for each pool that […]
SEC Update – Custody Rule Deficiencies
A risk alert was recently released by the SEC. It addresses common deficiencies related to Rule 206(4)-2, also know as […]