2021 NFA Self-Exam Questionnaire Updates Nov 30, 2021 By Susan Osmanski – Turnkey Trading Partners The National Futures Association (“NFA”) Self-Examination Questionnaire is designed to assist… Read More
Proposed Amendments to NFA Compliance Rule 2-7 Nov 30, 2021 Pursuant to the NFA’s recent Amendment to Rule 2-7, Swap APs serving as Branch Managers of Member Firms… Read More
2021 CFTC/NFA Annual Compliance Obligations Nov 26, 2021 As 2021 comes to a close, staff will begin leaving for holiday vacation and compliance will be forgotten. … Read More