NFA Compliance: Commodity Pool Operator Deadline
In January of this year, the NFA adopted an interpretive Notice regarding Internal Control Systems for Commodity Pool Operators (Rule […]
5 Simple Tips to Maximize Your Morning
Even if you consider yourself a morning person, we can all agree mornings come far sooner than we’d like. That […]
Introducing Broker Annual Requirements & Deadlines
Below is a summary of just some of the important requirements for Introducing Brokers. Note this does not reflect all […]
CFTC Announces Examination Priorities
For the first time, the Division of Market Oversight (DMO) for the CFTC has published its exam priorities for 2019. […]
SEC Review Bitwise Bitcoin ETF
In a February 11th notice, the SEC launched a review of the Bitwise Bitcoin ETF. They are looking into a […]
FINRA 2019 Risk Monitoring & Priorities Letter
Every year, FINRA publishes its Annual Risk Monitoring and Exam Priorities to highlight issues to its regulatory programs. This year’s […]
FINRA warns Broker Dealers of an Email Phishing Scam
FINRA has recently warned Broker Dealers to be on alert for an email targeting their compliance personnel. The email appears […]
Broker Dealers: Update Compliance Program
In order to improve and update Broker Dealer compliance programs, we have put together a brief summary of new and […]
CFTC Wants the Info on Crypto-Market
CFTC Wants Info on Crypto-Market In December, the CFTC put out a request of information “asking for public feedback on […]