Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)
Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures EntitiesThis week, the CFTC approved a NFA Interpretative Notice that prohibits a Member from accepting credit card payments from customers to fund retail forex accounts. The NFA recently reviewed how
Continue Reading NFA Prohibits Funding of Retail Forex Accounts With Credit Cards
Lawyers have often been the brunt of cruel jokes. But now, a recent study reported on by the Bureau of National Affairs shows, lawyers are the target of securities regulators.
Continue Reading So You Thought You Wanted To Be A Securities Lawyer
In September 2009, the NFA adopted Rule 2-45, which prohibits CPOs from making any direct or indirect loans or advances of pool assets to the CPO or any affiliated person
Continue Reading NFA Modifies Rule Prohibiting Commodity Pool Loans
You may remember that I previously wrote about the NFA’s proposals earlier this year to better monitor customer segregated funds after some high profile monitoring failures. The NFA recently began
Last year, I blogged about the newly adopted Part 165 of the CFTC regulations, which implements the CFTC’s whistleblower program under the Dodd-Frank Act. Last week, the NFA issued
Continue Reading NFA Issues Notice Regarding Pre-Dispute Arbitration Agreements
Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it. I then
Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .
The CFTC recently adopted the NFA’s interpretative notice to NFA Compliance Rule 2-36 regarding price slippage and price re-quoting. Rule 2-36(b)(1) prohibits a Forex Dealer Member (“FDM”) from engaging in
Please join us for this program on Thursday, January 5, 2012.
C:Documents and SettingsebadwayLocal SettingsTemporary Internet FilesOLK8Fcle_GovernmentAndInternalInvestigations.htmlContinue Reading Fox Rothschild Primer on Government Investigation– All Invited
My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk. It details methods for investigating and responding to ponzi schemes.
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