Tuesday December 1, 2015

Recent News

Regulatory Reminder and Updates to All National Futures Association (“NFA”) Registered Firms

National Futures Association Annual Update As a reminder, Members and Registrants of the National Futures Association have the responsibility of completing certain requirements on an annual basis.

Regulatory Reminder and Updates to All Registered Investment Advisers (“RIA”)

Annual Filing Deadline for Investment Adviser Renewals This is a reminder for all registered investment advisers to file their annual Form ADV update and additionally review their respective firm’s

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