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Regulation

NFA Ramps up Regulations in Reaction to the SNB Storm

Higher capital requirements and tighter risk management standards are around the corner for Futures Commission Merchants

Friday, 29/05/2015 | 08:44 GMT by Victor Golovtchenko

Brokers

CFTC Data Shows FXCM Inc. Retail Forex Funds Shed 12% in December

The Futures Commission Merchant of KCG Holdings, KCG Americas LLC, has been removed from the list due to its sale to Wedbush Securities. Institutional Liquidity LLC has been officially delisted as an FCM.

Wednesday, 18/02/2015 | 18:23 GMT by Victor Golovtchenko

Brokers

US Retail Forex Market Stabilized, CFTC October FCM Data Shows

The CFTC’s monthly report of October FCM financials is showing the size of the US retail forex industry remained flat with only a 0.2% drop in customer assets. The market shares of the firm have not changed as well.

Wednesday, 10/12/2014 | 17:35 GMT by Avi Mizrahi

Brokers

US Brokers to Face New Reporting Practises under NFA’s Segregated Funds Reports

US Financial services providers will be required to submit their semi-monthly segregated client funds data under new requirements. The watchdog requires firms to submit important client money data in percentages.

Monday, 03/11/2014 | 21:56 GMT by Adil Siddiqui

Brokers

CFTC FCM Data: US Retail Forex Funds Drop 2% in August, Interactive Brokers Steady

GAIN Capital lost the most and FXCM kept increasing its market share, now firmly holding a third of the total U.S. foreign exchange market, while IB’s market share rose by a full percentage point to 7%.

Wednesday, 15/10/2014 | 22:10 GMT by Victor Golovtchenko

Brokers

July CFTC FCM Data Reveals Retail Forex Funds Growing at GAIN Capital, OANDA and FXCM

Total Retail Forex Funds rose by $41,413,312 in July when compared to the previous month, with the top three retail forex brokerages in the US GAIN Capital, FXCM and OANDA registering substantial rises.

Thursday, 11/09/2014 | 19:43 GMT by Victor Golovtchenko

Regulation

Capital Markets Services To Pay CFTC $275,000 For Allegedly Failing Minimum Financial Requirements

The company's adjusted net capital dropped below capital requirement by as much as $13 million at one point. The CFTC settled with the company as it provided complete cooperation in regards to the matter.

Tuesday, 08/04/2014 | 00:29 GMT by Victor Golovtchenko

Brokers

FCM December Metrics, Forex Dealers' Funds Dip Except for Interactive Brokers and FXDD

December data shows Retail Forex Obligations in the U.S. had a combined decrease of 1.28% across ten dealers, with only two reporting increases MoM, and Institutional Liquidity and RJ Obrien having the largest % decreases.

Saturday, 15/02/2014 | 09:29 GMT by Steven Hatzakis

Analysis

INTL FCStone, FX Revenue Up 3% in Q4, FX Arbitrage Slides, Payments Business Evolves

With its FX payments business gaining traction, the multi-market broker prepares to release its financial statements, after reporting highlights of its Q4 2013 Fiscal Year ending September 30, 2013, released yesterday.

Saturday, 11/01/2014 | 11:01 GMT by Steven Hatzakis

Regulation

A Gentle Reminder: CFTC Issues No-Action Relief Letters to FCM Compliance Departments

The US Commodity Futures Trading Commission has issued two no-action relief letters to FCMs detailing that they are not required to register as swap dealers with the CFTC, and that the fiscal year ends today.

Tuesday, 31/12/2013 | 19:44 GMT by Andrew Saks McLeod

Brokers

Exclusive: INTL FCStone CEO on The Company's Stock-Price Dive: "Market Overreacted"

The NY headquartered financial services firm with heritage from 1924, has its CEO Sean M. O'Connor comment on the recent 10% dive of the company's stock price following an accounting error noted in its regulatory filing.

Thursday, 19/12/2013 | 01:01 GMT by Steven Hatzakis

Brokers

FCM October Data Shows Uptake in Retail FX Funds

FX brokers regulated under the Commodity Futures Trading Commission have reported their monthly financial data for October. Overall funds were up $10.4 million with 50% of brokers witnessing an increase in Retail Forex funds.

Friday, 13/12/2013 | 23:59 GMT by Adil Siddiqui

Regulation

CFTC Publishes Final Rules Pertaining to How FCMs and DCOs Hold Customer Funds

The Financial watchdog of the the U.S Commodity Futures and Derivatives markets has published a set of finalized rules - some of which go into effect on January 14, 2014 and referencing others that are already in effect.

Friday, 15/11/2013 | 00:35 GMT by Steven Hatzakis

Analysis

Net U.S. Retail Forex Obligations Down $6M in September from $628M in August, Full Details

from 11 reporting Retail Foreign Exchange Dealers,5 contributed to a $12.9 mln increase which was more than offset by a loss of the remaining six dealers whose amounts had fallen month-over-month by a combined $18.9 mln.

Wednesday, 13/11/2013 | 14:51 GMT by Steven Hatzakis

Products

TradingScreen Deploys RiskHub for FCMs Pre-Trade Credit Check Requirements

New York headquartered provider of diverse brokerage technology solutions, with offices in Chicago, Geneva, Hong Kong, London, Paris, Sao Paulo, Singapore, Sydney and Tokyo, expands its reach with a new product launch.

Tuesday, 05/11/2013 | 21:44 GMT by Steven Hatzakis

Brokers

August Forex Obligations Held by FCMs Little Changed Over July for Retail Foreign Exchange Dealers

Last month data from the CFTC revealed that Futures Commission Merchants who act as Retail Foreign Exchange Dealers had a combined $629 million in forex obligations which hovered steady over the previous month.

Friday, 25/10/2013 | 20:37 GMT by Steven Hatzakis

Brokers

Exclusive: ILQ Acquires Velocity Futures

ILQ, a leading institutional FX provider has acquired Velocity Futures, LLC a US based Futures Commission Merchant. Velocity Futures made the announcement in an email to its clients.

Saturday, 28/09/2013 | 20:30 GMT by Adil Siddiqui

Brokers

Alpari US Customer Contraction Continues in July CFTC FCM Financials

The CFTC has posted financials for US FCM’s for the month of July. Among forex firms, the data showed a decline in customer deposits. During the month, total Retail Forex Funds dropped 1.2% to $629.75 million.

Wednesday, 11/09/2013 | 16:05 GMT by Ron Finberg

Brokers

Appeal Denied – One World Capital Fraudsters Receive Full Sentencing

Ponzi scheme fraudsters, John Walsh and Charles Martin, operators of defunct One World Capital saw their appeals rejected. As a result, the two continue to face long jail sentences and restitution charges in the millions.

Wednesday, 31/07/2013 | 10:23 GMT by Ron Finberg

Brokers

CFTC Posts May FCM Financials – Advanced Markets Out, Whotrades FX is In

The CFTC has posted financials for FCMs as of the end of May. Total Retail Forex Funds were $644,593,164, a drop of $3,166,759 (-0.49%) from the end of April. The decline was mainly the result of a near $9 million drop at Oanda,

Thursday, 11/07/2013 | 10:00 GMT by Ron Finberg

Brokers

As New Rules Go Into Effect, Advanced Markets Swaps NFA For ASIC Regulation

Deciding it’s not worth the $20,000,000 minimums; Advanced Markets has also officially withdrawn all of its licenses with the NFA. As of June 28th, the broker withdrew both its FCM license and NFA membership.

Thursday, 11/07/2013 | 09:16 GMT by Ron Finberg

Technology

Traiana Announces Twelve FCMs are Live on their Harmony Network for Exchange Traded Derivatives

Post trading flow solutions provider, Traiana, has announced that twelve FCMs are now connected on its Harmony Network for Exchange Traded Derivatives . Traiana added that “ there has been a rapid uptake of buy-side hedge funds and asset managers".

Tuesday, 25/06/2013 | 09:04 GMT by Ron Finberg

Brokers

CFTC Reports April FCM Data – FXCM Rises and OANDA Declines

The CFTC reported April financial data for reporting FCMs. For forex firms, there was very little change, as total Retail Forex Funds dropped $177,260 to $647,759,923. Among gainers, FXCM saw account growth of $4.9 million

Thursday, 13/06/2013 | 08:00 GMT by Ron Finberg

Regulation

Looking for a Job? The NFA is Hiring

The NFA has announced that they approved their Fiscal Year 2014 budget. The budget, for the fiscal year which starts on July, 1 2013 is for $74 million, an 18% increase above last year, with the majority going towards new hiring

Thursday, 06/06/2013 | 20:16 GMT by Ron Finberg

Brokers

MB Trading Keeps FDM Withrdraws FCM License

Viewers of the NFA’s site will notice that under information for US broker MB Trading, it is currently that listed under the firm’s status it lists “Futures Commission Merchant Pending Withdrawal”.

Wednesday, 05/06/2013 | 09:21 GMT by Ron Finberg

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