National Futures Association (“NFA”) Updates Financial Statement Filings The NFA is adding additional questions to independent introducing brokers’ (“IBs’”) financial statement filings beginning with the September 30, 2017 filings.…
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…
Written by: Mark E. Ruddy, Esq. Maria Fielding, Legal Assistant Three of the Commodity Futures Trading Commission (“CFTC”) Nominees Confirmed The United States Senate confirmed J. Christopher Giancarlo as…
What is Intelligence as a Service? Intelligence-as-a-Service (“IntaaS”) is the combination of automated domain expertise with traditional internet software. Imagine if your CRM came pre-filled with customer information, your taxes…
Written by: Mark E. Ruddy, Esq. Jessica I. Brown, CAMS Commodity Trading Advisors (“CTAs”) Third-Party Record Keeping Relief CTAs now have the ability to request relief from certain Commodity Futures…
Written By: Leslie Sutphen, President, Financial Markets Consulting, LLC There has been much talk about repealing most of the Dodd-Frank act now that we have a change of party in…
By: Scott Kruse - Turnkey Trading Partners The State of Illinois is bankrupt. Whether anyone will acknowledge that or not is up for debate. Readers who are not familiar with…
The U.S. Senate Committee on Agriculture, Nutrition, and Forestry this morning voted overwhelmingly to confirm the nomination of J. Christopher Giancarlo as Chairman for the U.S. Commodity Futures Trading Commission.…
Recently, a new rule went into effect at the Department of Labor that may have some implications on your business. To the extent that you recommend trading systems, CTAs…
Written by: Matt Kluchenek, Patricia McDonald & Michael Sefton, Baker&McKenzie If you've been thinking about starting a hedge fund, you've likely encountered a byzantine array of options and requirements. Sorting…
