What is an ISSP
An Introduction for Introducing Brokers Security matters, and the NFA and other financial regulators are pushing to help market participants appropriately protect their customers and themselves against cyber threats which…
CFTC & Compliance Issues for 2019
The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association (“NFA”) member firms are most focused on growing their book of business.…
CFTC and K-State to Host 2nd Agricultural Commodity Futures Conference
The Commodity Futures Trading Commission (CFTC) and the Center for Risk Management Education and Research (CRMER) at Kansas State University will host AgCon2019, the 2nd annual agricultural commodity futures conference…
Reminder: New Virtual Currency Disclosure Requirements
Due to the significant growth of the virtual currency market, the NFA has proposed an interpretive notice to the CFTC invoking the “ten-day” provision and will make it effective 10…
5th Annual Cyber Risk Conference at DePaul University
New and evolving technologies such as artificial intelligence, predictive analytics, machine learning and robotic process automation are now an everyday reality. Similarly, use of the Cloud and third-party systems have…
CTA/CPO Ratio Errors; NFA PQR and PR Filings
This month NFA put out a fantastic reminder about common CTA/CPO ratio errors and the obligations facing reporting firms. In particular they have laid out their expectations for CTA and…
CFTC to Hold Open Commission Meeting 11/5
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced today that the CFTC will hold an open meeting on Monday, November 5, 2018 at 10:00 a.m.…
2018 IB Handbook
The Complete IB Handbook – 2018 Edition Now Available Updated annually, The Complete IB Handbook is a comprehensive resource for prospective and current introducing brokers (IBs). This guide, written by…
Portrait Of Business People Working Together In Office
Conference Session Preview – Compliance
Have you attended compliance sessions in the past that have not quite addressed your concerns or perhaps hit topics that were interesting but not relevant to your firm? This year…
NFA Promotional Material Filing
On Tuesday, August 14, 2018, NFA launched a new Promotional Material Filing System. The new system provides firms the ability to seamlessly track their promotional material submissions throughout the entire…