Page 16 - 期貨和衍生品行業監管動態（2025年8月）
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期貨和衍生品行業監管動態
Traders Edge 提交的和解申請作出，Traders Edge 在和解申請中既不承認也不否
認控告書中的指控。投訴書指控 Traders Edge 在其網站展示具有誤導性和欺騙性
的交易業績，這些業績未扣除傭金和費用，并且在討論盈利時沒有以同等顯著方
式提示虧損風險，違反《NFA 合規規則》第 2-29(b)(1)條、第 2-29(b)(3)條及第
2-29(b)(5)條。控告書同時指控該公司通過其員工從事具有誤導性和欺騙性的招
攬活動，違反《NFA 合規規則》第 2-2(a)條及第 2-29(a)(1)條。此外，控告書指
出 Traders Edge 未能在交易開始前充分披露費用明細，違反《NFA 合規規則》第
2-4 條。最后，控告書還指控該公司未能勤勉盡責地監督公司運營及員工行為，
違反《NFA 合規規則》第 2-9(a)條。
聽證小組在決定中認定 Traders Edge 違反了《NFA 合規規則》第 2-2(a)條、
第 2-4 條、第 2-9(a)條、第 2-29(a)(1)條、第 2-29(b)(1)條、第 2-29(b)(3)條及第
2-29(b)(5)條。
NFA Orders New Jersey-based Introducing Broker Traders Edge Inc. to
Withdraw From and Not Reapply for NFA Membership (2025/7/30)
NFA has ordered Traders Edge Inc. (Traders Edge), an NFA Member introducing
broker located in Madison, N.J., to withdraw from, and not reapply for, NFA
membership.
The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued
by NFA’s Business Conduct Committee and a settlement offer submitted by Traders
Edge, in which it neither admitted nor denied the allegations. The Complaint alleged
that Traders Edge’s website displayed misleading and deceptive trading results that
were not presented net of commissions and fees and included discussions about profit
that were not accompanied by an equally prominent discussion of the risk of loss, in
violation of NFA Compliance Rules 2-29(b)(1), 2-29(b)(3) and 2-29(b)(5). The
Complaint also alleged that Traders Edge (through its employees) engaged in
misleading and deceptive sales solicitations, in violation of NFA Compliance
Rules 2-2(a) and 2-29(a)(1). Further, the Complaint alleged that Traders Edge failed
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