CFTC and NFA ESG Programs Jun 29, 2022 By: Turnkey Trading Partners Turnkey is often the so called, “Tip of the Sword” when it comes to… Read More
Do Your Books and Records Meet Regulatory Expectations and Guidelines? Apr 28, 2022 There are many reasons for traders and brokerage firms to reconcile and close their books monthly. Arguably, the most important reason, is that a firm’s books will be looked at extensively during an NFA audit.
Understanding Promotional Material Guidelines Apr 25, 2022 Promotional Material Guidelines When National Futures Association (“NFA”) member firms advertise they open themselves up to regulatory risk…. Read More