Compliance / Legal

Recent Changes to NFA's Self-Examination Questionnaire and Interpretive Notice 9020 entitled Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires April 12, 2011 NFA requires all Members to review the Self-Examination…

On April 18th, I will be visiting the Commission in Washington D.C. with one purpose - to bring the opinions of NIBA's members directly to the CFTC Commissioners. CFTC's response…

As we all settle into a new year, the growth of your business is your obvious goal. However, the matrix of industry rules, regulations and compliance procedures continues to evolve.…

It’s not overtly obvious, but these seemingly unrelated topics actually do have a connection. Let me explain. President Bush was at the Union League Club in Chicago last month promoting…

The NFA website has posted some updated documents including Disclosure Documents, Forex Reg Guide, Comp Rules 2-29, and the Self Examination Checklist. To view these documents please visit www.nfa.futures.org they will…

Notice to Members I-10-21 October 13, 2010 NFA offers guidance on CFTC's final forex regulations The Commodity Futures Trading Commission's (CFTC) final Forex regulations are effective on October 18, 2010.…

In my role as Chairman of NIBA, I was invited to represent our organization at the CFTC Staff Roundtable held in Washington, DC on September 16. The topic was OCR…

On January 3, 2011, amendments will become effective to NFA Compliance Rule 2-30, commonly referred to as the Know-Your-Customer Rule. (See also NFA website and Notice to Members I -10-15…

Everyone who has tried their hand at marketing has obsessed over the content of an ad or promo piece, and we have all struggled with the difficulty of reaching and…

Due to the rapid rise and rapid fall of the crude oil market in 2008, the CFTC has recently proposed a new rule on speculative position limits for the energy…