Category: NFA Regulations

World Investor Week: CFTC’s FinTech Forward 2018 and SEC, NFA, FINRA Events

Felix Shipkevich

NFA Suspends Golden Point and Graham In Emergency Enforcement Action

Felix Shipkevich

NFA Fines XFA Introducing Broker $100,000 For Compliance Violations

Felix Shipkevich

CME Chairman Voices Concerns About Brokerage Collateral Ruling

Felix Shipkevich

NFA Registers Cargill as Swap Dealer

Felix Shipkevich

NFA Responds to Peregrine Financial Group Audits

Felix Shipkevich

CFTC Rule Update: New CTA Reporting Rule Deadline Announced by NFA

Felix Shipkevich

NFA Escalates Market Monitoring of Futures Commission Merchants (FCMs)

Felix Shipkevich

CTA receives NFA BCC complaint

Felix Shipkevich

NFA hits North Carolina CTAs with enforcement action

Felix Shipkevich

NFA to CPOs: Don’t forget assessment fees

Felix Shipkevich

NFA orders California Introducing Broker barred from registration permanently

Felix Shipkevich

CFTC finalizes new CPO exemptions, delegates to NFA

Felix Shipkevich

NFA takes enforcement action against Paron Capital Management, LLC

Felix Shipkevich

NFA proposes amendments to the Interpretive Notice regarding Forex Transactions

Felix Shipkevich

NFA proposes amendments to Financial Requirements Section 15 regarding FDM internal financial controls

Felix Shipkevich

Members must retain a registered Principal over whom NFA has jurisdiction

Felix Shipkevich

Prohibition of loans by commodity pools to CPOs and affiliates

Felix Shipkevich