♦U.S. vs. Thakkar: Non-Traders Beware♦ One of the most fascinating panel discussions at last…
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You Better Know the Nuances
♦Market Conduct Update: Pre-Open Guidance♦ CME Group released a Market Regulation Advisory last week…
Our “Bad Actor” bundle
♦Cybersecurity & Identity Theft Prevention: Bundle Up!♦ Cybersecurity and Identity Theft Prevention training are closely…
CME Advisory: EFRPs Better Be Bona Fide
♦CME Advisory: Off-Market EFRPs Will Be Scrutinized♦ In an amended Market Regulation Advisory Notice…
Just Released, Just in Time: Cybersecurity 19.1
♦Just Released: Cybersecurity Awareness Training 2019♦ Our new Cybersecurity 19.1 course features updated content,…
Need Our Cybersecurity Outline? You Got It!
♦Cybersecurity on Everyone’s Radar♦ We’ve had a flurry of requests lately for the outline…
CFTC 2019 Exam Priorities
♦An Overview of CFTC 2019 Exam Priorities♦ (The following article was posted on February…
An Ounce of Prevention is Worth a Pound of Cure
♦Block Out the Big Penalty♦ When the NYMEX Business Conduct Committee fined an introducing broker…