NIBA Advisory Group
The NIBA is committed to serving the derivatives industry and as such has created an advisory group to our board. This group of highly qualified industry professionals will help to…
NFA Announces 2015 Nominations
NFA's Articles of Incorporation were amended to reduce the size of NFA's Board of Directors from 37 to 29 Directors. The new Board structure will be in place in February…
CFTC Requires NFA Membership for Registered Intermediaries
The CFTC has adopted a final rule, CFTC Rule 170.17, which will require almost all IBs, CTAs and CPOs to become NFA Members. CFTC Rule 170.17 requires each person or…
Housekeeping, Reminders and Updates
NATIONAL FUTURES ASSOCIATION Information Systems Security Programs - Cybersecurity On October 23rd the National Futures Association (“NFA”) announced the adoption of the interpretive notice regarding NFA Compliance Rules 2-9, 2-36…
NFA Compliance – Preparing for an NFA Exam
Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA has seen a dramatic increase. With this increase came a renewed commitment by regulators to not…
Cyber Security
While attending the recent NIBA conference, we learned about new rules affecting our industry. Brokers will no longer be able to email client documents to their customers, clearing relationships, or…
Volatility and Risk
It is very difficult to separate the concepts of volatility and risk, the two are intimately intertwined. Look no further than the pending Federal Reserve rate decision at time of…
Cybersecurity: A New Frontier for IBs and CTAs
The importance of cybersecurity has taken many industries by storm, and the futures industry is no exception. Indeed, CFTC Chairman Timothy Massad has recognized cybersecurity as “the single most important…
NIBA in Washington, DC
On November 9, the NIBA will travel to Washington, DC to meet with various members of the CFTC as well as other industry participants, such as the CMC. Melinda Schramm…
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