NFA Member Responsibilities for Third Party (Vendor) Risk Management
One of the top priorities for any business is to protect its systems and data from cyber security threats. Many security attacks come through vendors which have access to critical…
CFTC Enforcement Action Update
NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on select recent CFTC enforcement actions concerning introducing brokers. CTAX Partners – Too Close for Comfort This case serves…
CFTC Considering Whether to Allow Investors to Wager on U.S. Elections
Written by: Matthew Kluchenek, Partner, Mayer Brown LLP; Matthew Bisanz, Partner, Mayer Brown LLP; Anna Easter, Associate, Mayer Brown LLP Last month, the Commodity Futures Trading Commission (“CFTC”), the regulator…
Enforcement Action Break Down
NIBA Service Provider Member, Ballard Spahr provides their insights on select recent CFTC enforcement actions. EOX Holdings LLC EOX Holdings LLC is an introducing broker who was recently found by…
Expanded CFTC Enforcement Under Rule 180.1
In the last few years, CFTC has used CFTC Rule 180.1 to pursue claims as frequently, if not with greater frequency, than claims brought under traditional fraud provisions such as…
NFA and NIBA announce joint webinar: Supervision in a Hybrid Environment
On Tuesday, December 7, 2021 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the NIBA will hold a webinar discussing NFA supervision requirements as they pertain to hybrid and remote…
NFA and the NIBA joint webinar: Navigating Regulatory Requirements in a Hybrid Environment
On Thursday, September 23, NFA and the National Introducing Brokers Association (NIBA) held a webinar that discussed recent regulatory developments in relation to current hybrid and remote work environments. During…
NFA & NIBA Joint Webinar: Navigating Regulatory Requirements in a Hybrid Environment
On Thursday, September 23 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the National Introducing Brokers Association (NIBA) will hold a webinar discussing recent regulatory developments in relation to current…
NFA to hold Member Town Hall webinar on April 20
To provide Members with an opportunity to ask questions of NFA's leadership, NFA will conduct a Town Hall webinar on Tuesday, April 20, 2021, at 9:30 a.m. CT/10:30 a.m. ET.…
Springtime Compliance Housekeeping Items
In January 2021, at the request of Futures Industry Association (“FIA”), CME Group Inc. (“CME”), ICE Futures U.S. (“IFUS”), and the Minneapolis Grain Exchange, LLC (“MGEX”), the CFTC granted partial…