Traders Exchange Event – Save the Date
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Introducing Broker Compliance Reminders
It is imperative for all Introducing Brokers to remain in compliance with current NFA regulations or face hefty fines. We […]
CPO and Hedge Fund Reminders – Financial Statements Must…
NFA has recently been identifying and advising CPOs with regard to making sure their financial statements are in compliance with GAAP […]
NFA Imposes Late Disclosure Filing for Registration
Effective June 1, 2014, NFA imposed a $1,000.00 late disclosure filing fee for members who fail to disclose or update […]
National Introducing Broker Association Meeting – Chicago – July
Together with DePaul University, NIBA will be hosting an afternoon meeting on Tuesday, July 8, 2014 at the Arditti Center, […]
NFA Proposes Lower FCM Assessment Fees
NFA has recently submitted a proposed amendment of NFA Bylaw 1301 to the CFTC. The proposed amendment includes decreases in […]
Public Information Deadline for FCMs
As of July 12, 2014 all FCMs must make financial information available on their websites. The information must include: The […]
New Process for Registration No-Action Relief for CPOs
Due to the rescission of Regulation 4.13(a)(4) which had provided exemption from registration to certain types of CPOs, the CFTCs […]
No-Action Relief for CTA Oral Recording Requirement
The CFTC’s Divisions of Market Oversight and Swap Dealer and Intermediary oversight have extended no-action relief for CTAs that are […]