Notice to Members I-24-02 Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration January 29, 2024 The CFTC requires any person that…
NIBA Compliance Officers Group Meeting: July 10, 2024 100 S. Wacker Dr., Ste. 250, Chicago, IL 60606 This program is free, but registration is required. Registration opens shortly. More info…
Get Smart on essential aspects of futures trading market conduct and compliance with FIA-IFM’s industry-leading training. As a nonprofit educational foundation, we are in a unique position to collaborate with…
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an…
Introducing Brokers are seeing the impact of the CFTC’s and NFA’s investigations into “off channel communications”. Since December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on…
The Commodity Futures Trading Commission (CFTC) Division of Enforcement recently released a new advisory to its staff related to penalties, corporate compliance monitors and consultants, and admissions in CFTC enforcement…
Register today for L&C 2024 - FIA's Law & Compliance Division Conference, taking place at the Gaylord National Resort from 24-26 April. Get up to speed on all the pressing…
