
Why Hackers Hack Websites: Securing Your Website for Compliance…
With the upcoming cybersecurity requirements by the NFA and nearly every regulatory body overseeing financial service industry participants, it’s important […]

NFA and FINRA Certified Audits – Important Deadlines 2016
2016 is a leap year. Therefore, certified audits are due to be filed on a different day of the month […]

NIBA Conference New York
The semi annual NIBA Conference will be held on April 20, 2016 at the New York Athletic Club. Registration will […]

CTA Expo New York
The CTA Expo will be hosting a conference on April 21, 2016 at the Roosevelt Hotel, 45 East 45th Street. […]

Commodity Futures Trading Commission Proposes Regulation AT
The CFTC has unanimously approved a proposed Rule on Automated Trading. Regulation AT takes a multi-level approach to represent a […]

NFA Compliance – Preparing for an NFA Exam
Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA and prepare for an NFA Exam […]

NFA Members – New ISSP Program Effective March 1,…
Effective March 1, 2016 NFA’s Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49 entitled Information Systems Security Programs […]

NFA Financial Requirements – Customer Liability Requirements
Under CFTC Regulation 5.8, FDMs that hold assets used to cover retail forex customer liabilities are now required to instruct […]

NFA Updates CPO Form PQR and CTA Form PR
Effective June 30, 2015, NFA has enhanced the Form PQR for CPOs and Form PR for CTAs based on feedback […]