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 […]
Trading Swaps–CFTC Issues Final Rules
Three rules have recently been finalized under the Dodd-Frank Act regarding trading of swaps on organized facilities. SEF Core Principles […]
Private Funds Now Have Ability to Advertise
As of September 23, 2013 issuers will be able to promote non-registered securities offerings using print, display, and electronic media. […]
Hurricane Sandy Prompts Regulators to Issue Review of Firms’…
The CFTC, SEC and FINRA joined together to issue a staff advisory on business continuity and disaster recovery planning. NFA […]