NFA lifts emergency action against COESfx

The release follows a $500,000 injection into COESfx and the resolution of accounting issues queried by the NFA.

"COESfx satisfactorily demonstrated that it is in compliance with NFA requirements," said the NFA lifting notice.

The action, effective November 26, was issued when the firm failed to demonstrate compliance with NFA rule 3-15 in relation to the keeping of books and records. It prohibited COESfx from accepting or distributing any additional customer accounts or funds or placing trades

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