Chairman Letter December 2015
Dear Members - The NIBA was founded in June 1991. During the past 25 years, we have become known as the association who educates and speaks for the retail professional…
2016 Member Events
The following association events are currently scheduled for 2016. Please mark your calendar now to save-the-dates. If you are interested in being on the planning committee for any meeting, please…
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 ask questions about…
NIBA – Get to Know the Regulator
U.S. Commodity Futures Trading Commission Division of Clearing and Risk Who is in charge of the Division of Clearing and Risk: DCR is run by a Director, who is assisted…
Housekeeping, Reminders, and Updates December 2015
COMMODITY FUTURES TRADING COMMISSION Extension of Time-Limited No-Action Relief from Certain Recordkeeping Requirements On December 8th, the Commodity Futures Trading Commission (“CFTC”) issued a press release regarding the no-action letter…
NIBA in DC
On November 9, 2015, Steve Petillo, Mike Burke and I travelled to Washington, DC to meet with members of the Commodity Futures Trading Commission at their offices. Here’s a summary…
HOUSEKEEPING, REMINDERS AND UPDATES NOVEMBER 2015
COMMODITY FUTURES TRADING COMMISSION Form CPO-PQR and FORM CTA-PR Frequently Asked Questions On November 5, 2015, the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealers and Intermediary Oversight (“DSIO”)…
The Clock is Ticking; Required Cybersecurity Policies
The headlines in today’s paper should read: “The Wild West is back! Stick ups and heists at an all-time high!” Only today the villain is not riding up to a…
Breaking News!
On November 9, NIBA traveled to DC to meet with CFTC Commissioner Bowen and CFTC Chairman Massad. Issues suggested by the NIBA membership were discussed -- HFT definitions and CFTC…
November Chairman Letter
Dear Members, As you receive this newsletter, the NIBA will be in Washington DC at the office of the CFTC. The talking points/agenda for the Commission, was developed from suggestions…
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