Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more
- CFTC Chief Compliance Officers Compliance FCMs NFA Reporting Requirements
On December 27, National Futures Association issued guidance for NFA members carrying accounts, accepting orders or handling transactions from an introducing broker (IB) whose NFA membership is pending in reliance upon...more
- Brokers CFTC Compliance NFA No-Action Relief Swaps
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