Inactive Firms be Aware – Semi- Annual Questionnaires Coming Due Mar 24, 2025 Under National Futures Association (NFA) Compliance Rule 2-52 and its associated Interpretive Notice, NFA Member Questionnaire Requirements (effective… Read More
Common NFA Audit Deficiencies: Summer 2024 Edition Jul 31, 2024 Turnkey periodically shares common audit deficiencies observed in National Futures Association (“NFA”) exams. Typically supporting 10 to 15… 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