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2 results for: futures commission merchant

07 Jun, 2023

Swap Dealers and Futures Commission Merchants: "Let's Talk About Risk," Says CFTC in an Advanced Notice of Proposed Rulemaking

By Carl Kennedy

Current risk management program (RMP) requirements of swap dealers (SDs) and future commission merchants (FCMs) will be re-evaluated as...

16 Sep, 2022

By Stephen Morris

Once, many years ago, the Joint Audit Committee released a Regulatory Alert (RA 14-03) addressed to futures commission merchants that are...