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 […]
Cyberthieves Shouldn’t Pull on SECs Cape
he SEC took action against nine defendants in the regulator’s 2016 Edgar system hacking. “The SEC’s complaint alleges that after […]
Upcoming Events for Introducing Brokers, Pool Operators, and Commodity…
Save the Dates! Ideal for Introducing Brokers, both new to the industry and seasoned, the National Introducing Broker Association will […]
Commodity Pool Operators Internal Controls System: NFA Compliance Rule…
Effective April 1, 2019 all Commodity Pool Operators having the ability to control customer funds must adopt and implement an […]
Upcoming Regulatory Workshops for CPOs, CTAs, FCMs, FDMs, and…
The NFA will be hosting two regulatory workshops specifically for Commodity Pool Operators, Commodity Trading Advisors, Introducing Brokers, Futures Commission […]
NFA Amends Cybersecurity Programs
Beefing Up Cybersecurity On Jan. 7, 2019 the NFA issued an amendment to the Information Systems Security Programs notice that […]
CPO and CTA Affirmation Deadline Approaching
If you are a CTA and CPO and you currently claim an exemption under 4.13(a)(2), (a)(3), (a)(5), or exclusion from […]