Block Trades, Voice, Chat, & OTC Brokerage Jul 26, 2023 By Turnkey Trading Partners: An increasing number of Introducing Brokers (“IB”) are entering the block futures space. A… Read More
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
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.