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.
Micro Futures and Crypto Regulatory Crackdown? Feb 28, 2022 Over the last year National Futures Association (“NFA”) has been making adjustments to annual questionnaire response items. Similarly,… Read More
Critical Changes to NFA Branch Office Supervision Sep 30, 2021 By: Turnkey Trading Partners In August of 2021, NFA indicated that it would be pursuing a change to… Read More