Expanded CFTC Enforcement Under Rule 180.1
In the last few years, CFTC has used CFTC Rule 180.1 to pursue claims as frequently, if not with greater frequency, than claims brought under traditional fraud provisions such as…
NFA and NIBA announce joint webinar: Supervision in a Hybrid Environment
On Tuesday, December 7, 2021 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the NIBA will hold a webinar discussing NFA supervision requirements as they pertain to hybrid and remote…
NFA and the NIBA joint webinar: Navigating Regulatory Requirements in a Hybrid Environment
On Thursday, September 23, NFA and the National Introducing Brokers Association (NIBA) held a webinar that discussed recent regulatory developments in relation to current hybrid and remote work environments. During…
NFA & NIBA Joint Webinar: Navigating Regulatory Requirements in a Hybrid Environment
On Thursday, September 23 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the National Introducing Brokers Association (NIBA) will hold a webinar discussing recent regulatory developments in relation to current…
NFA to hold Member Town Hall webinar on April 20
To provide Members with an opportunity to ask questions of NFA's leadership, NFA will conduct a Town Hall webinar on Tuesday, April 20, 2021, at 9:30 a.m. CT/10:30 a.m. ET.…
Springtime Compliance Housekeeping Items
In January 2021, at the request of Futures Industry Association (“FIA”), CME Group Inc. (“CME”), ICE Futures U.S. (“IFUS”), and the Minneapolis Grain Exchange, LLC (“MGEX”), the CFTC granted partial…
CFTC’S CORONAVIRUS (COVID-19) RESPONSE
CFTC’s Coronavirus (COVID-19) Response By: Jua T. Tawah, Esq. As the Commodity Futures Trading Commission (CFTC or Commission) began taking action in response to the COVID-19 pandemic back in March,…
CFTC Announces Finalization of 2020-2024 Strategic Plan
The Commodity Futures Trading Commission announced the finalization of the agency’s 2020-2024 Strategic Plan. The plan was unanimously approved by the Commission in May and was subject to a 30-day…
Watch NFA’s latest Board Update Video
Have five minutes? Watch NFA's latest Board Update Video NFA released its latest Board Update Video. This video covers important items from NFA's November Board Meeting, including rulemaking initiatives, enterprise…
NFA Dues surcharge for certain Member firms engaged in Swaps Activities
Effective date of dues surcharge for certain Member firms engaged in swaps activities In May 2019, NFA issued Notice to Members I-19-13 announcing that NFA's Board of Directors approved an…