MARKETING
REGULATION
TRAINING
CONFERENCES
Latest Regulation Toolbox Items
NIBA Comments on CFTC Order (Release Number 8972-24)
Release Number 8972-24 Written by: Braden Perry Partner Kennyhertz Perry [email protected]. The recent CFTC Order (Release Number 8972-24) and the Dissenting Statement by Commissioner Mersinger raise significant questions about how the Commiss …
Read More >A Powerful New Challenge to Exchange Enforcement Actions
Written by: Renato Mariotti and Maggie DePoy, Paul Hastings LLP Self-regulatory organizations, including futures exchanges, could face aggressive challenges in the wake of the SEC v. Jarkesy decision, which provides a new avenue to challenge regulatory …
Read More >The Rising Tide of AI in Trade Surveillance: Adapting to an Increasingly Complex Regulatory Landscape and Solving for False Positives
Written by: Joe Schifano, Global Head of Regulatory Affairs at Eventus In recent years, the financial industry has faced mounting pressure from regulators, driving significant transformation within compliance functions. At the National Introducing Brok …
Read More >
All Regulation Toolbox Items
- NIBA Comments on CFTC Order (Release Number 8972-24)
- A Powerful New Challenge to Exchange Enforcement Actions
- The Rising Tide of AI in Trade Surveillance: Adapting to an Increasingly Complex Regulatory Landscape and Solving for False Positives
- CFTC Approves Final Rule Allowing U.S. Introducing Brokers Direct Access to Registered Foreign Boards of Trade for the Submission of Customer Orders
- RE: Notice of Proposed Rulemaking: Foreign Boards of Trade (RIN 3038-AF37) – 89 Fed. Reg. 15083
- Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
- Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration
- NIBA – Compliance Alert – NFA Recordkeeping Actions
- NIBA – Compliance Alert – New Guidance on Future CFTC Enforcement Resolutions