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
NFA Swaps Proficiency Test: An Inside Look Apr 29, 2020 In March 2019, NFA announced that all swap Associated Persons (APs) would be required to complete a new swaps proficiency requirement by January 31, 2021. As swap firms are aware, the initial registration process was completed by NFA earlier this year to setup a swap administrator for all firms and also list any APs that would be required to take the proficiency test.