
Certified Audits and Tax Preparation–IBs, CPOs, Broker Dealers, FCMs,…
The National Futures Association has increased the late fees for submission of its regulatory filing to $1000.00 each business day […]

CPO and CTA Exemption Affirmation
If you are a CPO and claim an exemption or exclusion from registration under CFTC Regulation 4.5, 4.13(a)(1), 4/13(a)(2), 4.13(a)(3), […]

Tax Compliance Act–FATCA Deadline
The Foreign Account Tax Compliance Act will require certain financial institutions to identify and disclose direct and indirect U.S. investors […]

Compliance Requirement Changes for CPOs and CTAs
Beginning September 23rd, 2013 all CPOs and CTAs are permitted to use a Disclosure Document for up to 12 months […]

FCM, IB, and RFED Recordkeeping Requirement
Beginning December 21st, 2013, all FCMs, certain IBs, and RFEDs must begin to tape record all oral communications provided and/or […]

Red Flag Rules: Deadline for FCMs, CPOs, Broker Dealers,…
On November 20, 2013 all FCMs, CPOs, Broker Dealers, CTAs, and certain Investment Advisers must comply with new regulations put […]

Introducing Brokers, FCMs, Swap Firms affected by CFTC Reg.…
CFTC Regulation 1.73 affects IBs and FCMs that execute orders for customers. Therefore, IBs meeting the qualifying requirements who execute […]

Compliance Workshop–CTA Expo 2013 Chicago
Michael Coglianese will be hosting a Compliance Workshop at the CTA Expo on September 19, 2013 from 2:00 p.m. to […]

Introducing Brokers and Forex Dealer Members Face Significant Increase…
The NFA has submitted a proposal to the Commodity Futures Trading Commission regarding an increase to fees for late financial […]