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INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state...
The Commitment of Traders report is a popular release that tracks sentiment in futures markets. Learn all about the COT report in this article.
On September 29, 2023, the CFTC approved a proposal to amend certain provisions of its regulations relating to commodity pools, specifically Rule 4.7.
On September 29, 2023, the CFTC approved a proposal to amend certain provisions of its regulations relating to commodity pools, specifically Rule 4.7. The proposal would be the first...
As compliance professionals, we know that “March Madness” has a special meaning beyond the excitement of NCAA basketball. To help you through these upcoming weeks, check out this issue...