CFTC & NFA Compliance Issues For 2019 Nov 19, 2018 The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association… Read More
Changes to GIB and Branch Office Supervision? Oct 15, 2018 The financial services industry has been enduring a period of intense consolidation for more than a decade. Perhaps… Read More
CFTC 1.22’s Impact on IB’s – DePaul University Jul 02, 2014 On July 8, 2014 Turnkey Trading Partners will host a session at the National Introducing Brokers Association (“NIBA”)… Read More