SEC Update – Custody Rule Deficiencies
A risk alert was recently released by the SEC. It addresses common deficiencies related to Rule 206(4)-2, also know as […]
IIB Certified Audits–Reporting
After a busy audit season that included many new rules implemented by NFA and CFTC, we would like to share […]
Regulatory Requirements for FCMs, CPOs, IBs, and CTAs
NFA Regulatory Requirements-May 2013
Tax Planning Considerations 2012
Make the right choices preparing your 2012 tax return. A variety of changes loom on the horizon. The Section 179 […]
2012 Tax Saving Opportunity
Many business owners may be unaware of a fantastic opportunity to save tax dollars when it comes to business losses. […]
CPO/CTA Yearly Exemption Affirmation
December 4, 2012 NFA has issued a notice to persons that are relying on exemptions or exclusions from registration as […]
October 2012 Industry Update Alert
Many recent regulatory changes have resulted in new rules as well as deadlines. Complicating the regulatory environment further, certain firms […]
Free Compliance Workshop
Mike Coglianese to Host Compliance Workshop Michael Coglianese CPA, P.C. will be hosting a complimentary Compliance Workshop at the Emerging […]
CTA EXPO Miami Emerging Manager Forum
The CTA Expo will be hosting an Emerging Manager Forum on December 13, 2012 at the Eden Roc Renaissance in […]