Compliance / Legal

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…

GCSI is returning this year after bringing together executives, thought leaders, and experts from Chicago's F500 companies and government entities at our first conference in 2018. This year, we're are…

On Thursday, August 29, NFA will launch its redesigned BASIC system, a free tool that NFA Members and investors can use to research the background of derivatives industry professionals. To…

Written by: Ansley Schrimpf, Mayer Brown This week the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued interpretive guidance to clarify requirements for introducing…

On Thursday, May 16, I visited the CFTC Washington DC office for a meeting with Matt Kulkin, Director of the Division of Swap Dealer & Intermediary Oversight, and Tom Smith,…