Proposed Adjustments To How Customer Funds May Be Invested Jan 15, 2024 The Commodity Futures Trading Commission (“CFTC”) proposed changes to Regulation 1.25(a) late in 2023. These comments were required… 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… Read More
Building A Robust CFTC and NFA Record Keeping Program Nov 20, 2023 In last months article, Turnkey Trading Partners (“Turnkey”) discussed Critical CFTC Supervision and Record-Keeping Tips, emphasizing the significance… Read More