NFA Representative Annual Report
Introducing Broker and CTA/CPO representatives on the NFA Board of Directors will present their annual report to NIBA members on September 24 during our Annual Members Meeting. The following representatives…
HOUSEKEEPING, REMINDERS AND UPDATES: AUGUST 2015
FINANCIAL CRIMES ENFORCEMENT NETWORK In an August 25, 2015, press release, the Financial Crimes Enforcement Network (“FinCEN”) announced proposed anti-money laundering (“AML”) regulations for investment advisers. FinCEN has published a…
Cybersecurity
Cybersecurity is the #1 issue on every financial professional's mind in the fall of 2015. What risks should I be aware of? What safeguards can I put in place? What…
NIBA FCM Risk Management Series- Interactive Brokers
NIBA will be featuring a recurring article in its monthly newsletter to membership with a focus on FCM Risk Management. The article will feature a different Member FCM each month…
Ask the NFA
Q: What is needed (checklist, step by step, guide, etc) to setup a non-trading 4.7 exempt CTA for a stand alone entity? A: “Selecting and Recommending CTAs - A Recommending CTA…
Chairman’s Letter
Dear Members: As we approach our 25th Anniversary Year, I want to emphasize that the mission of the NIBA is to provide education for IBs, CTAs and their APs which…
Spotlight on the Demo Hall by The 2015 September Conference Committee
It has become a tradition to have a great Demo Hall each year at the NIBA Annual Member Meeting in Chicago. And this year, the Demo Hall is exceptional! Included…
Baker & McKenzie to serve as counsel to the NIBA
NIBA is pleased to announce that the law firm of Baker & McKenzie has agreed to serve as councel to the Association. The lead attorney for Baker & McKenzie will be…
Perfect Competition
There was a time, not too long ago, when broker-dealers were perceived as providing value to their customers. They would get on the phone, chat to customers, talk about the…
NIBA/DePaul Event Video Recap
Thank you again to DePaul University and to the speakers at the NIBA/DePaul co-sponsored event in Chicago. Nearly one hundred NIBA members heard sessions on meeting the challenges of marketing…
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