CFTC Provides Registration Waivers for Series 3 and Fingerprint Cards Apr 24, 2020 The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today announced that, in response to the COVID-19 (coronavirus) pandemic, it has issued additional targeted no-action relief to registrants listing new principals and to applicants for registration as associated persons (APs) from the requirement to submit a fingerprint card for any such principal or AP registration applicant.
NFA Trade Execution Audit: Are you Prepared? Jan 31, 2020 National Futures Association, Commodity Futures Trading Commission, and CME Group examiners are becoming increasingly granular about their testing of trade execution record keeping. The following article describes what you can do to protect your firm when this part of your business is reviewed.
Turnkey Shortlisted – Best CFTC & NFA Compliance Consulting Dec 20, 2018 Chicago, IL – Turnkey Trading Partners was recently named to both CTA Intelligence and Alt Credit Magazine’s 2019… Read More