A letter from NFA’s CEO and Chairman
January 31, 2013 Dear Members, We wanted to send you a personal update on all that has happened in the months following the collapse of Peregrine Financial Group Inc. (PFG),…
The Daily Electronic Confirmation of Customer Segregated Funds
For years, the futures industry had an impeccable reputation for safeguarding customer funds deposited at FCMs. Now, within a very short time frame, we are dealing with a shortfall in…
Technology to Monitor FCM Segregation Requirements
Notice to Members I-13-05 January 30, 2013 Effective Date of Amendments to NFA Financial Requirements Section 4 Regarding Use of Technology to Monitor FCM Segregation Requirements NFA recently amended NFA…
Some Filing Changes – NFA and IRS
In addition to the myriad of tax changes we’re facing as we go into the new year, here’s a reminder that CFTC Reg 4.27 requires all CTA’s to file a…
Notice of Newly Elected Members to NFA’s Board of Directors and 2013 Nominating Committee
This year there were contested elections in the IB and CPO/CTA categories of NFA's Board of Directors. Newly elected Board members in those categories and a complete list of the…
Reminder: CFTC Regulation 4.27: CTA Reporting Requirements
In February 2012, the CFTC issued final rules adopting CFTC Regulation 4.27 which, among other things, requires that all CTAs file a Form PR annual report with NFA within 45…
NIBA Survey: Protecting Customer Funds
Create your free online surveys with SurveyMonkey, the world's leading questionnaire tool. The survey will remain open until September 10th and we’ll and share the final results at the NIBA…
Important Message for Customers of Peregrine Financial Group and Peregrine Asset Management – Updated on July 12, 2012
FROM THE NATIONAL FUTURES ASSOCIATION. View Original Posting here. ---------------------------------------------------------------------------------------------------------------------------- On July 9, 2012, National Futures Association took an emergency enforcement action against Peregrine Financial Group, Inc. (PFG), an NFA…
NIBA Statement on PFGBest Failure
On Thursday July 12th 2012, Melinda Schramm, Founder and Chairman of the NIBA was iin Washington, DC to discuss with CFTC official issues surrounding the collapse of PFG including orderly…
CFTC reportedly plans client-fund protection in wake of allegation
From the FIA SmartBrief today: The U.S. Commodity Futures Trading Commission is set to adopt safeguards for client funds in the wake of a shortfall allegation against Peregrine Financial Group and…