CFTC/NFA – Regulatory Changes – September 2019 Sep 30, 2019 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. In September, the CFTC/NFA announced significant changes to Compliance Rule 2-34 regarding… Read More
NFA – CTA and CPO Performance Accounting Changes Sep 17, 2019 National Futures Association submitted two rule submission letters to the CFTC on August 29th, 2019 updating various NFA Rules and Interpretive Notices. Below we will look at some of the… Read More
Biggest Compliance Risk: Smaller Branch Offices and GIBs? Aug 22, 2019 Authored By: Greg Baracy – Turnkey Trading Partners Turnkey Trading Partners (“Turnkey”) has conducted onsite office reviews of Commodity Futures Trading Commission (“CFTC”) and National Futures Association (“NFA”) registered firms… Read More