Proposed Changes to Regulation 4.7 Likely to Damage Industry Dec 22, 2023 The Commodity Futures Trading Commission (CFTC) has recently put forth proposed changes to Regulation 4.7. The proposed changes encompassing adjustments to the definition of Qualified Eligible Participants (QEP) as well… Read More
2023 CFTC/NFA Annual Compliance Obligations Dec 18, 2023 Turnkey Trading Partners always likes to remind our clients to consider annual compliance deadlines and obligations. This year saw both the Commodity Futures Trading Commission (“CFTC”) as well as National Futures Association… Read More
Another one? Third Introducing Broker Since September to be Fined for Failure to Supervise Nov 27, 2023 On August 15, 2023, the Business Conduct Committee (BCC) of the National Futures Association (NFA) issued a formal Complaint against Braemar Securities LTD (Braemar). The allegations set forth in the… Read More