It can be difficult to keep track the various regulatory announcements and changes that occur during a month.  To better assist you Turnkey Trading Partners has put together a summary of the various regulatory notices and adjustments which have occurred since our last newsletter.

Simply select what is most applicable to your regulated CFTC/NFA business by clicking below:

Information regarding NFA’s review of swap valuation dispute submissions

Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Risk Disclosure Statements for SFP’s

Changes to CFTC Regulation 4.5 – “Definition of Commodity Pool Operator/Trading Advisor”

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