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.
Proposed Amendments to NFA Compliance Rule 2-7 Nov 30, 2021 Pursuant to the NFA’s recent Amendment to Rule 2-7, Swap APs serving as Branch Managers of Member Firms… 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