Secrets from Inside the NFA
Until recently I was working as a field auditor with the National Futures Association (“NFA”). During my time at NFA, the self-regulator was enduring a great deal of criticism. After…
Get to Know the Regulator: CFTC Division of Swap Dealer and Intermediary Oversight
Who is in charge of the Division of Swap Dealer and Intermediary Oversight: DSIO is run by a Director, who is assisted by the DSIO Deputy Directors and Chief Counsel.…
Housekeeping, Reminders & Updates
Securities and Exchange Commission SEC Proposed Modernizing and Enhancing Information Disclosed and Reported by RICs and RIAs The Commissioners of the Securities and Exchange Commission (“SEC”) unanimously approved two (2)…
FIA Webinar: Cybersecurity Threats: Preparation & Response
Cybersecurity has been the subject of sessions at both the NIBA New York City event, April 1 and last week's joint program with DePaul University in Chicago. We will present…
Trading at Settlement (TAS) for Agricultural Futures
First Trade Date Monday, June 8, 2015 Trading at Settlement (TAS) is an order type that allows a market participant to buy or sell futures contracts during the trading day…
June Chairman’s Letter
Dear Members - The last few weeks have been busy for the NIBA. Just as we closed out a very successful member meeting in New York City, we stepped up…
Help Wanted!
Planning for the NIBA Annual Meeting, September 24 in Chicago is underway. If you would like to serve on the planning committee, please contact Mike Burke, [email protected] or Melinda Schramm,…
Calling All IBs!
I have been writing The Complete IB Handbook since 1998 - this year marks the 6th edition. The Handbook is a look at the state of Introducing Broker business today…
Housekeeping, Reminders and Updates
Foreign Account Tax Compliance Act Cayman Islands Update The Cayman Islands Department of International Tax Cooperation (“DITC”) has further extended the due dates for submitting Foreign Account Tax Compliance Act…
Recent CFTC Enforcement Matter Serves as Warning to Exempt CTAs
Earlier this year, the CFTC ordered Summit Energy Services, Inc. ("Summit Energy") to pay a $140,000 civil penalty to resolve allegations that it violated Section 4m(1) of the Commodity Exchange…
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