An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
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The NFA Business Conduct Committee issued a complaint against an introducing broker and its CEO for registration and supervision violations.
A CFTC-registered introducing broker settled NFA charges for failing to maintain complete records and allowing an unregistered individual to operate as an associated person.
NFA amendments that modify the definition of "branch office" to exclude certain locations that are part of a hybrid work-from-home environment will go into effect on September 23, 2021.
NFA reminded registrants and applicants of the expiration of temporary relief that it granted from fingerprinting requirements.