Compliance / Legal

Four years ago in 2010, Congress enacted new tax legislation that only recently came into effect.  This article briefly discusses two additional U.S. tax regimes arising from such new tax…

New Self-Executing Registration Relief for Delegating CPOs On October 15, 2014, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC”) issued CFTC…

FUTURES COMMISSION MERCHANTS In a July 7, 2014 Notice to Members, the National Futures Association (“NFA”) announced a reduction in the assessment fee paid by futures commission merchants (“FCMs”) Members.…

By now, all FCMs are to have made public via their websites certain financial data per CFTC Rule 1.55. This information is important to Introducing Brokers as it makes available…

The growth and expansion of information technology and electronic communication have made it increasingly easy to collect, maintain, and transfer personal information about individuals.  Advancements in technology also have led…

Although the majority of futures and forex transactions occur without issue, occasionally misunderstandings do happen. When either a broker or customer feels they have been wronged during the course of…

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

In this age of heightened regulatory scrutiny and the ever increasing risk of litigation from former employees and customers, coupled with the need to protect valuable trade secrets, it has…

 “Ask the NFA” 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…

On June 5, 2014 NFA issued Notice to Members I-14-13, which outlined important changes that were made to CPO Form PQR and CTA Form PR that will become effective for…