Forex

Mallon P.C. provides extensive legal advice for all firms and individuals engaged in the forex business, including Forex Commodity Pool Operators (CPOs), Forex Commodity Trading Advisers (CTAs), and Forex Introducing Brokers (IBs). With the increased regulations in the forex industry, we assist our clients with all Forex registration procedures, including registering with the CFTC, creating disclosure documents, and passing the Series 3 and Series 34 Exams. Mallon P.C. has extensive knowledge of the NFA regulatory and registration procedures for all forex managers, and offers timely and thorough advice to assist clients through the registration process.

Mallon P.C.’s legal service include but are not limited to:

· Enroll clients as a Security Manager through NFA’s Online Registration System (ORS)

· Register Forex CPOs, CTAs, and IBs as NFA members by preparing and submitting Form 7-R and Form 8-R

· Assist clients with preparation for the Series 3 and Series 34 Exams

· Advise clients on the requirements for drafting and submitting Disclosure Documents to the NFA for approval

· Ordering fingerprint cards

· Provide in-depth compliance consulting

· Discuss individual performance reporting and calculations

· Assist with the implementation of ethics reporting

Mallon P.C. serves forex managers on all aspects of the registration and compliance process and maintains frequent contact with the CFTC and NFA. We have also created NFA Self-Examination checklists that provide a detailed outline of each rule and compliance requirement.