Consulting Investment Regulatory Organizations

In the era after the 2008 Global Financial Crisis (GFC), the importance and responsibilities of market regulators have grown exponentially. The GFC exposed many deficiencies in the way markets and market participants operate, so frequently consulting with regulators has become a necessity for any risk-averse market participant. These organizations are some of the key regulatory bodies for commodities and other investments:

• Securities and Exchange Commission (SEC)

• Commodity Futures Trading Commission (CFTC)

• National Futures Association (NFA)

• Financial Industry Regulatory Authority (FINRA)