CME Group RA2402-5 on Rule 526 Impacts Executing Brokers Nov 26, 2024 CME Group (“CME”) regularly publishes Market Regulation Advisory Notices to clarify exchange expectations for market participant behavior. On… 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.
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