Housekeeping, Reminders and Updates–Dec 2014
Notice I-14-33 On December 1st, the NFA released Notice to Members I-14-33 regarding the CFTC’s recent approval on the NFA’s Interpretive Notice entitled “NFA Compliance Rules 2-4 and 2-36: Prohibition…
DePaul University Cyber-Risk Conference
“Sharing information is extremely helpful, but some large companies are now assuming that truly determined hackers cannot be kept out. So they are putting more emphasis on building resilience—the ability…
Member of the Month | Michael Coglianese CPA, P.C.
NIBA Member Spotlight on Michael Coglianese CPA, P.C. Founded: April 1987 NIBA Member Since: 2009 Address: 125 E. Lake Street, Suite 303, Bloomingdale, IL 60108 Branch Offices: 2 Web: cogcpa.com About the…
Highlighting Important Changes Happening to BASIC
As part of its ongoing commitment to customer protection, National Futures Association (NFA) recently made changes to its display of futures commission merchant (FCM) financial information on its Background Affiliation…
Member Fee Reminder:
Member Fee Reminders will be sent to all member categories in December. For the 10th year, fees for IBs, CTAs and CPOs will remain at $150. You can renew your…
The CFTC Revisits Dodd-Frank Rulemakings, and Responsiveness Shines Through
On Monday, November 3, 2014, the U.S. Commodity Futures Trading Commission (CFTC) held an open meeting to consider three proposed rule amendments addressing the residual interest deadline (CFTC Rule 1.22),…
Housekeeping, reminders and updates
INTRODUCING BROKERS An October 31, 2014, Notice to Members, Notice I-14-27, announced that all introducing brokers (“IBs”) financial reports are now required to be filed electronically, this includes the annual…
November Chairman’s Letter
This month marks the initiation of CFTC Regulation 1.22 implementation, often referred to as the “residual interest” rule. On November 14, the deadline for FCMs to post their own capital…
5 Things Your Mother Never Told You About Your Reputation
How reputation management works and why you need to work yours! I admit I was that mother that told her children, “It doesn’t matter what other people think about you.…
2014 NIBA Board of Directors Nominations
NIBA BOD Nominations The National Introducing Brokers Association nominates the following association members for positions to the Board of Directors. Nominees For Additional 3 Year Term: Ralph Preston: Asoociated Person,…
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