National Introducing Broker Association – New York Conference
Michael Coglianese CPA, P.C. is one of the sponsors of the 2014 NIBA Conference in New York on Thursday, May […]
CTA Expo 2014 New York Conference – Operational Considerations…
The CTAExpo will be hosting a special program on April 29, 2014 at the New York Stock Exchange. Mike Coglianese […]
SEC Targeting Deficiencies in RIA Compliance Programs in 2014
With the passage of the Dodd Frank Act, the SEC has made clear the intent to focus its examinations and […]
SEC Regulation
When filing the annual amendment, managers who no longer qualify for SEC registration must withdraw their SEC registration within 180 […]
SEC Now Allows Private Investment Funds to Solicit General…
As of September 23rd of this year, the SEC issued a new rule under Regulations D. SEC rule 506(c) permits […]
Recording of Oral Communication–FCMs, certain IBs, and RFEDs
Effective December 21, 2013 CFTC Regulation 1.35(a) will require FCMS, certain IBs, and RFEDs to tape record all oral communications […]
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 […]