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 […]
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 […]