NFA Fines Another Introducing Broker for Unregistered Solicitation & Supervision Failures Nov 24, 2025 The National Futures Association (NFA) has issued a $290,000 fine against Oil Brokerage Limited, a London-based introducing broker (IB), for allowing unregistered personnel to solicit and accept orders from U.S…. Read More
CFTC/NFA FCM Regulations: Margin Adequacy and Treatment Oct 31, 2025 In December of 2024 the CFTC established a new regulation which does not happen frequently. Regulation 1.44 was put in place to allow clearing and non-clearing FCMs a pathway to… Read More
FinCEN and Federal Regulators Clarify Key SAR Filing Requirements Oct 27, 2025 The Financial Crimes Enforcement Network (FinCEN), together with the Federal Reserve, FDIC, NCUA, and OCC, has issued updated Frequently Asked Questions (FAQs) clarifying key aspects of Suspicious Activity Report (SAR)… Read More