Page 16 - 期货和衍生品行业监管动态（2025年8月）
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期货和衍生品行业监管动态
Traders Edge 提交的和解申请作出，Traders Edge 在和解申请中既不承认也不否
认控告书中的指控。投诉书指控 Traders Edge 在其网站展示具有误导性和欺骗性
的交易业绩，这些业绩未扣除佣金和费用，并且在讨论盈利时没有以同等显著方
式提示亏损风险，违反《NFA 合规规则》第 2-29(b)(1)条、第 2-29(b)(3)条及第
2-29(b)(5)条。控告书同时指控该公司通过其员工从事具有误导性和欺骗性的招
揽活动，违反《NFA 合规规则》第 2-2(a)条及第 2-29(a)(1)条。此外，控告书指
出 Traders Edge 未能在交易开始前充分披露费用明细，违反《NFA 合规规则》第
2-4 条。最后，控告书还指控该公司未能勤勉尽责地监督公司运营及员工行为，
违反《NFA 合规规则》第 2-9(a)条。
听证小组在决定中认定 Traders Edge 违反了《NFA 合规规则》第 2-2(a)条、
第 2-4 条、第 2-9(a)条、第 2-29(a)(1)条、第 2-29(b)(1)条、第 2-29(b)(3)条及第
2-29(b)(5)条。
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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