Compliance / Legal

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…

Dear Fellow IB, This letter serves as a request for your vote for my candidacy in the upcoming election for the NFA Board of Directors Independent IB position. I am…

I believe individual investors and the small to midsize brokers & firms that service them are an important part of this industry, and that we need someone from such a…

Fellow CTA/CPO NFA Members: We write to ask you to cast your vote for us in the upcoming election for Board of Directors of the National Futures Association. While Board…

NFA Board of Directors Candidate Statement Brendan R. Kalb, General Counsel & Managing Director, AQR Capital Management, LLC This is a critical time for our industry.  We face a number…

Let George Do It! For more than 30 years the NFA has developed programs that safeguard market integrity, protect investors. At times our organization has been visionary in its pursuit…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…

As part of its ongoing commitment to customer protection, National Futures Association (NFA) recently made changes to its display of futures commission merchant (FCM) financial information on its Background Affiliation…

On Monday, November 3, 2014, the U.S. Commodity Futures Trading Commission (CFTC) held an open meeting to consider three proposed rule amendments addressing the residual interest deadline (CFTC Rule 1.22),…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…