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 […]
CFTC Adopts Harmonizing Rule for CPOs of Registered Investment…
The CFTC recently adopted final rules concerning certain compliance obligations for CPOs of RICs under the Investment Company Act of […]
“Red Flag” Rules apply to FCMs, CTAs, CPOs, BDs,…
The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the […]
CTA Expo Chicago
CTA Expo will be hosting their conference in Chicago on September 19, 2013. It will be held at the UBS […]
The Traders Exchange Networking Event September 18, 2013 Chicago
Save the Date for one of the best networking opportunities in the Futures and Hedge Fund community. The Traders Exchange […]
National Introducing Brokers Association Conference-Chicago 2013
The National Introducing Broker Association will be hosting their annual Chicago conference on September 18, 2013. The morning sessions will […]
CPO and CTA Quarterly Reporting Amendments
NFA member CPOs are required to file on a quarterly basis Form PQR disclosing certain information for each pool that […]