CFTC Releases Rule Enforcement Review Of The CBOE Futures Exchange,

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) announced today that it issued the results of a rule enforcement review of the CBOE Futures Exchange, LLC (CFE or Exchange) on June 24, 2016. The review covered a one-year target period. The Division evaluated CFE’s compliance with Designated Contract Market Core Principles […]

PRI Offers Compliance Resource to LPL Advisers

The Pension Resource Institute (PRI) is offering its retirement plan compliance resource, RetirementAdvantage, to LPL advisers at a 30% discounted price through LPL’s Vendor Affinity Program. RetirementAdvantage includes investment fiduciary and retirement plan consulting agreements for Employee Retirement Income Security Act (ERISA) 3(21) and 3(38) services, as well as Form ADV supplements for plan- and […]