National Futures Association

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  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

• Top Fund Managers Reveal Investment Opportunities

  By John Sullivan, AdvisorOne  |  July 26, 2012

  Chairman and CEO Joe Mansueto kicked off Morningstar’s 2012 Investment Conference in Chicago on June 20 by noting the presence of 1,850 attendees, 75 journalists and 200 exhibitors at this year’s show.

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  PFGBest Collapse Leads to CFTC, FBI Inquiries

  By Marlene Y. Satter, AdvisorOne  |  July 11, 2012

  The CFTC and FBI have taken action against a Cedar Falls, Iowa-based broker after the discovery that $220 million was missing out of $225 million in customer funds. PFGBest founder Russell Wasendorf attempts suicide outside the firm’s offices.

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  Meet the ‘Southwest Airlines’ of Managed Futures

  By John Sullivan, AdvisorOne  |  June 23, 2012

  “We observe the oceans of opportunity and catch the wave,” Cole Wilcox, Longboard’s CEO, explained to AdvisorOne.

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  At MF Global Hearing, Tough Questions Await CFTC’s Gensler

  By Melanie Waddell, AdvisorOne  |  November 30, 2011

  A House Financial Services panel has scheduled a Dec. 15 hearing to delve into the collapse of brokerage firm MF Global, with Gensler called to address oversight of the failed firm by Dec. 7.

• Trader Pleads Guilty to Threatening Securities Officials

  By Marlene Y. Satter, AdvisorOne  |  July 19, 2011

  Vince McCrudden, a former money manager and commodities trader, on Monday pleaded guilty to charges that he threatened to kill more than 40 financial regulators, including Mary Schapiro, head of the SEC.

• NFA Board Approves Pact with Eurex U.S.

  By Staff Writer  |  December 2, 2003

  CHICAGO (HedgeWorld.com)--The board of the National Futures Association approved a regulatory services pact with the U.S. Futures Exchange LLC, also known as Eurex U.S. A spokeswoman...