The NIBA has been working with the CFTC for over a year to gain approval from the regulatory body to participate in our newsletter series, “Get to Know the Regulators.” The CFTC has agreed to be a part of our article series and we will be featuring an article on the first division of the agency in the coming months.
This article series will be a Q&A with the CFTC with a focus on how the CFTC functions, who is in charge of various areas of the agency and who a broker would need to contact in the event they have dealings or questions for the agency.
NIBA recognizes that most of our members are very familiar with the NFA but may not have an in depth knowledge of how the CFTC operates. We have put this article series together in an effort to continue to bring relevant and informative topics to our membership. We are open to hearing your thoughts on the CFTC as well as any questions or comments you may have regarding how the agency operates or how it approaches regulation and/or enforcement. Please note depending on the nature of your questions we may or may not be able to include it in the series. You can direct any questions or comments to Melinda Schramm, melinda@futuresrep.com or Ryan Griffeth, ryan.griffeth@postrockbrokerage.com.
