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
NFA/CFTC Updates Relating to Conflict in Ukraine Mar 31, 2022 Throughout the month of March, as may have been anticipated, the CFTC and NFA posted a number of… Read More