NFA

Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the ...

"I congratulate Tom Sexton on being named president and CEO of the National Futures Association (NFA). Tom brings a wealth of experience and a deep ...

It’s been said that examiners from the National Futures Association are generally easier to work with than SEC examiners. That view gains credence with the ...

A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.

It’s all about data these days.   The National Futures Association often will send a registrant an Excel spreadsheet complete with fields to be filled ...

A peer passes on the firm's NFA exam letter.

Attending Harvard University offers no guarantees that you can survive in the rough and tumble world of highly leveraged futures and forex trading. Just ask ...

It has been a privilege to work closely with Dan Roth throughout my time as Chairman of the CFTC. We have forged an excellent relationship ...

I truly congratulate Dan on his commitment to NFA. The success and vitality of the self-regulatory model is evidenced by own his rise from attorney, ...

The Complaint alleged that AK Financial and Kim facilitated prohibited loans and advances to themsetves from a pool which they operated, in violation of NFA ...