Compliance Checkup – Annual Introducing Broker Requirements
Summer is a good time to review your annual NFA requirements to make sure you remain in compliance with the […]
Unique Accounting Aspects of the PPP Loan
Many small businesses including broker dealers, introducing brokers, registered investment advisors and others in the alternative investment space have received […]
NFA Regulatory Oversight Webinar
NFA is providing a free webinar on May 27, 2020 at 9:30 a.m. CT/10:30 a.m. ET. There is no charge […]
NFA Pool Audit Stub Period Relief – Reminders
Occasionally, our firm runs into new, start up commodity pools that are unaware of this relatively new regulatory relief that […]
Introducing Broker Financial Audits – New Deadline
Regulatory Relief for Introducing Brokers Per CFTC Regulation 1.10, Independent Introducing Broker Members must file a certified financial report within […]
Commodity Pool Audit Regulatory Extensions
In response to the COVID-19 pandemic, the NFA issued a no action letter with regard to regulatory relief for Commodity […]
Tax Deadline Extensions and Reminders
Due to the COVID-19 pandemic, the federal government has moved the individual tax filing due date from April 15, 2020 […]
NFA Compliance Reminders & Annual Requirements
Exemption Affirmation All exempt CPOs and CTAs have until March 2, 2020 to complete the affirmation process. However, because it […]
SWAPs Proficiency Now Available for FCMs, IBs, CPOs, and…
As of January 31, 2020 the SWAPS Proficiency Requirements are available online for all APs at FCMs, CPOs, CTAs, and […]