How Does the Corporate Transparency Act Impact CFTC and NFA Firms? Jan 28, 2024 On December 5, 2023 the National Futures Association (“NFA”) sent out a notice to members advisory regarding the… Read More
Proposed Changes to Regulation 4.7 Likely to Damage Industry Dec 22, 2023 The Commodity Futures Trading Commission (CFTC) has recently put forth proposed changes to Regulation 4.7. The proposed changes… 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