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
CFTC Takes A Page From NSA; Broker Recording Dec 12, 2013 Around this time last year the Commodity Futures Trading Commission (“CFTC”) made major changes to Regulation 1.35(a) which… Read More