Braemar Securities LTD is the Most Recent Introducing Broker to be Hit with a 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
Another Introducing Broker Hit With Failure to Supervise; Record Keeping Shortcomings Oct 31, 2023 Turnkey cannot express enough how critical it is for firms to take communication record keeping and supervision seriously. … Read More
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.