CFTC

Futures SRO Talks Budget

The National Futures Association (NFA) is an SRO which governs futures participants and Futures SRO Talks about its budget too. “In 1974, Congress established the Commodity Futures Trading Commission (CFTC). The same legislation that established…

FINRA Financial Industry Regulatory Authority

Next Step for FINRA 360 “Listen, Reflect, and…

FINRA’s self-evaluation process will now involve listening, reflecting and action. In the latest episode of FINRA’s podcast, Unscripted, rather than guests, the organization played a tape from the “Fireside Chat” which occurred at FINRA’s most…

FINRA

FINRA Budget Examined

FINRA, the Financial Industry Regulatory Authority, is expected to have a budget deficit in 2019, but that is not necessarily bad. In the latest episode of Unscripted, FINRA’s podcast, the guest was Chief Financial and…

CFTC

CFTC Unanimously Approves Project KISS Rulemakings to Ease…

The Commodity Futures Trading Commission (CFTC) announced today that it has unanimously approved Project KISS Rulemakings to simplify registrants’ obligations. [caption id="attachment_329494" align="alignright" width="300"] CFTC Chairman J. Christopher Giancarlo[/caption] “These final rule both originated as…

FINRA

FINRA to Upgrade Registration System

FINRA’s system for registering broker/dealers is getting an upgrade and moving into the 21st century. FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system for FINRA, all of the Securities and…