July was named by the Roman Senate in honor of Roman general Julius Caesar, the politician who played a critical role in the demise of the Roman Republic and the rise of Roman Empire. “Dog days” occur in early July, and refer to the time of year when the hot sultry weather of summer usually starts. In the U.S., we celebrate National Hot Dog Month and National Ice Cream Month throughout July.
On July 18 and 19, LabCFTC will hold Office Hours at the NYC office of the CFTC focused on FinTech innovation. LabCFTC was designed to give the CFTC better understanding of changing technologies which may ultimately influence the agency’s policy development. To make an appointment to attend Office Hours, contact LabCFTC@cftc.gov. The CFTC’s NYC office is located at 140 Broadway.
Have you ever taken a look at the NFA Enforcement and Registration Actions pages? Accessible at nfa.futures.org/news/EnforceRegActions, these pages list violations of NFA Rules or CFTC Regulations by firm and rule/reg violated, and include the action taken. During the period Feb. 28 through June 22, for example, four NFA Rule 2-9 Supervision actions were taken, three actions each for Rule 2-10 Recordkeeping, Rule 2-2 Fraud and Related Issues, and Rule 2-13 CTA/CPO issues. Checking these pages periodically will help you avoid doing business with firms which have disciplinary history issues, and remind you to double-check your own compliance programs.
MarketsWiki Education presents its annual program July 30, 31 and August 1. John Lothian organizes three afternoons of TED-style talks with the purpose of attracting and informing the next generation of professionals to the financial market space. I am excited and looking forward to presenting a session on July 31...more information at marketswiki.com/wiiki/MarketsWiki_Education.
Celebrate July with the NIBA by registering for the 5th Annual NIBA/DePaul University Joint Symposium. The full program includes something for everyone from an armchair chat with Leo Melamed and Dr. Carl Luft to understanding block chain to learning about NFA-audit triggers. Registration is open now.
Best, Melinda
Melinda Schramm, Founder & Chairman
