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Case Studies

The list of rulemaking changes, technology advancements and possible policy shifts is enough to send you hiding for cover under your desk. Educating yourself is your best option for assisting your firm with the continually evolving regulatory landscape.

The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.

The NFA recently amended NFA Compliance Rule 2-46 to impose a $200 late fee for each business day that members are late with their filings. This late fee will become effective for all such filings starting on September 30, 2016.