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Futures & Derivatives
Futures & Derivatives

Chicago has served as a hub for national commodities and futures trading since the mid-19th century when the railroads first arrived and the Chicago Board of Trade opened. Lawrence Kamin has been a part of this rich history for decades – a valuable resource assisting clients through a complex and ever-changing landscape….

Recent Enforcement Orders Remind FCMs: Train Your Brokers on Post- Execution Allocation Rules.

On May 29, 2018, the CFTC and NFA1, respectively, issued enforcement decisions against Chicago-based Xchange Financial Access, LLC (“XFA”) that should serve as a cautionary tale for Futures Commission Merchants, and other registrants, about the importance of training, updating supervisory procedures, and appropriately maintaining records. According to the regulators, XFA failed to supervise…

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