CFTC and NFA Compliance Obligation Schedule and Checklist Sep 27, 2024 It is hard to believe that September has come and gone already. Going into the third quarter, one… Read More
NFA’s Action Against Trinity Trading Group Sep 23, 2024 On August 15, 2024, the National Futures Association Committee filed a Complaint against Trinity Trading, a former NFA… Read More
Navigating CTA Registration: Lessons from Recent CFTC Enforcement Actions Aug 29, 2024 The importance of proper registration with the Commodity Futures Trading Commission (CFTC) as a Commodity Trading Advisor (CTA)… Read More