It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal ...
The patience of the NFA has run out in regards to the El Segundo, Calif.-CPO Quants Capital Management and its former principal Gokhan Kisacikoglu. The ...
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to ...
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date. That’s because, as the NFA reminds, CPOs ...
The recent government shutdown has slowed but not deterred harmonization efforts between the SEC and the CFTC. “We’re making very good progress” toward harmonization, ...
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to reduce ...
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the ...
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release. 2019 Compliance Branch ...
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by ...
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Principal ...