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…
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…
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…
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…
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…
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.…
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 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,…
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…
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…
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…