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 […]
CFTC Asks Congress for Additional Funds
According to the head of the CFTC, Timothy Massad, they simply cannot afford routine inspections, including inspections of exchanges and […]
NFA Audit Examinations – Reminders
Based on feedback we are hearing from our clients who have undergone recent NFA Surprise Examinations, there are a few […]
Introducing Broker Compliance Reminders
June 30 1FRs Due to NFA on July 24, 2015. This semi-annual unaudited financial statements must be submitted 17 business […]