2022 CFTC – NFA Regulatory Change and Article Summary

As 2022 comes to a close Turnkey felt it would be helpful to recap all the various regulatory announcements and rule changes that occurred throughout the year.  If you have any questions or concerns with anything that changed this year or if you’d like assistance with your overall compliance program, please contact Turnkey today via (312) 324-0040 or by clicking here. Our team can conduct mock audits for your firm and fully assist with ensuring 2023 is your best year of compliance yet! If you’re reading this article and have not signed up for our newsletter please do so to get the latest information about derivatives compliance.

Hot Topics and Changes for 2022

This year saw both the Commodity Futures Trading Commission (“CFTC”) as well as National Futures Association (“NFA”) roll out a number of new compliance and regulatory changes.  They also increased enforcement efforts in a number of key areas this year: