NFA BYLAW 1101: APPLICATION OF NFA BYLAW 1101 IN VARIOUS COMMON SCENARIOS If you are member of the National Futures Association (“NFA”), you have probably heard that you are required…
The “vanishing FCM” has recently become a hot topic. CFTC Commissioner Giancarlo gave a speech to the Market Risk Advisory Committee in June 2015, where he pointed out the dwindling…
Commodity Futures Trading Commission Commodity Trading Advisors On July 23, 2015 the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued press release PR7202-15 announcing…
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…
Notice to Members I-15-18 On July 20, 2015, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) had updated its list of…
Trading of futures options is growing rapidly and has widely been viewed as a market primed for expansion. While somewhat nascent compared to equity and index options markets, the Tabb…
Dear Members - I recently completed a survey of registered Introducing Brokers for the guide I am writing for the industry. I have been writing The Complete IB Handbook, now…
Annual Membership Meeting - September 24 - Chicago The NIBA Annual Membership Meeting is scheduled for September 24 at the CME Group Building in Chicago. This is a full-day event…
Regulatory reminder: Accurate and current business contact information and email address When a firm first applies for registration, the applicant must provide the address of its main office location, its…
Thank you to DePaul University and to the speakers at last week's NIBA/DePaul co-sponsored event in Chicago. Thank you especially to Dr. Carl Luft, Alex Perry, Mark Shore and Dr.…
