A recent study by the Sutherland Asbill law firm revealed that FINRA brought 4% more disciplinary cases in 2012 as compared to 2011. In doing so, FINRA jacked up its
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Loans
NFA Modifies Rule Prohibiting Commodity Pool Loans
By Amit Shah on
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