Compliance / Legal

The cyber security industry has gotten great at boundary defense.  “Firewalls, Firewalls, Firewalls” - that’s all you heard for a long time emanating from the boardroom.  Well the times they…

The National Futures Association (“NFA”) Rules and Commodity Futures Trading Commission (“CFTC”) regulations that govern the futures, forex, and swap trading industry are subject to continuous interpretation, amendment, and update.…

announces Dashboard webinar on February 25 In preparation for the launch of the NFA Dashboard, the new entryway to NFA's Online Registration System (ORS), NFA will conduct a webinar on…

The NFA recently adopted an Interpretive Notice titled “Information Systems Security Programs” (Cybersecurity Interpretive Notice). This new NFA policy, which goes into effect March 1, 2016, requires FCMs, IBs, CTAs,…

Brian Clark is the CEO of Ascent Technologies, Inc. (www.Ascent.is), a company that offers a compliance platform for users to help them identify, track, and manage the vast amount of…

The Commodity Futures Trading Commission (“CFTC”) has proposed a new rule -- so-called Regulation AT -- to regulate the use of automated, or algorithmic, trading systems that trade commodity interests…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…

U.S. Commodity Futures Trading Commission  Division of Clearing and Risk Who is in charge of the Division of Clearing and Risk:  DCR is run by a Director, who is assisted…

The headlines in today’s paper should read: “The Wild West is back! Stick ups and heists at an all-time high!” Only today the villain is not riding up to a…

Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA has seen a dramatic increase.  With this increase came a renewed commitment by regulators to not…