CFTC 2019 Exam Priorities
♦An Overview of CFTC 2019 Exam Priorities♦ (The following article was posted on February…
Joseph AdamczykFebruary 26, 2019
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…
Joseph AdamczykFebruary 12, 2019
Annual Cybersecurity Training: It’s the Law
♦Mark Your Calendar for Cybersecurity Training Changes♦ Notable changes to Cybersecurity training requirements go into…
Joseph AdamczykJanuary 29, 2019
CE Credits Are Baked In The Ethics Cake
♦Extra Credit♦ Completing an Exchange Analytics Futures Ethics course does more than satisfy regulatory…
Joseph AdamczykJanuary 2, 2019
CFTC Enforcement Report an Eye-Opener
♦Serious About Enforcement♦ The Commodity Futures Trading Commission's Division of Enforcement was crystal clear…
Joseph AdamczykDecember 13, 2018
Podcast Featuring Larry Israel
♦What the Heck are Futures & Derivatives Anyway?♦ That was the apt title of last…
Joseph AdamczykNovember 13, 2018
Avoid violations, mitigate consequences
♦It's a Wash♦ Earlier this month, TRC World Group agreed to pay a $30,000…
Joseph AdamczykOctober 19, 2018
Another trader dinged for spoofing
♦Spoofing Across Multiple Exchanges♦ A series of disciplinary notices released by the CME Business Conduct…
Joseph AdamczykOctober 15, 2018
