Introducing Brokers, FCMs, Commodity Pools – Start your PPP…
Do you have a PPP Loan? Start your forgiveness application process as soon as possible PPP Loan is a liability […]
Coronavirus Regulatory Relief Updates for IBs, FCMs, RFEDs, SDs
Per Compliance Rule 2-9, NFA Members with Branch Offices and/or Guaranteed Introducing Brokers (GIB) are required to conduct annual onsite […]
Tax Reminders and Updates
Partnership Tax Reporting Update for 2020: As of the tax year 2020, partnerships are now required to report to the […]
Commodity Pool Audit Due Dates and Compliance Checklist
Non-exempt Commodity Pools must submit a certified audit on an annual basis to the National Futures Association. The audit must […]
Broker Dealer Audit Due Dates and Compliance
Broker Dealer Audit Due Dates and Compliance Broker Dealers must submit an annual independent certified audit to both FINRA, the […]
3 reasons why you should get audit ready now
Year end is coming… and while it is tempting to put things off, we both know you will be just […]
The Broker Dealer Exemption Report – webinar October 15
October 15 – 1:00 PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE […]
Payroll Tax Deferral – An Administrative Challenge
On August 8, 2020, President Trump signed an executive action in the form of a memorandum allowing employers the option […]
The PPP Loan – Update
The PPP program now allows borrowers the option of extending the eight week period following the loan disbursement date during […]