FINRA Reminds Member Firms of Obligations for Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions

March 26, 2021

Annual Verification in the FINRA Contact System Due January 27

January 22, 2021

CFTC Staff Provides Limited Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19

January 22, 2021

Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations

January 22, 2021

OCIE Provides Observations on Cybersecurity and Operational Resiliency Best Practices

January 31, 2020

CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement

May 24, 2019

Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments

May 24, 2019

Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs

May 24, 2019

OCIE Issues Risk Alert on Compliance Issues Related to Best Execution by Investment Advisers

July 20, 2018

SEC Releases Updates to Custody Rule Frequently Asked Questions

June 15, 2018