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The SRO provides two steps to check on registration/exemption status
Gain greater insight into how to do your break-even analysis for the NFA
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
New rules take effect with the first of the year
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years. The ...
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story). The ...
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a ...