The last few years have been a very challenging playing field to navigate. As a CTA one has to wear multiple hats while trying to grow a business. While our…
In late January 2014 the National Futures Association (“NFA”) announced to its membership they were: “…reviewing the current regulatory structure applicable to Commodity Pool Operator (“CPO”) and Commodity Trading Advisor (“CTA”)…
Firm Name: AG & Investment Services, Inc. Founded: 1986 Number of Brokers: 3 IB Status: Guaranteed NIBA Member Since: Since first year of organization, 1991 Address: 644 First Street, Suite…
New recording requirements went into effect in January. Although some IBs are exempted, many are not. The NIBA has opposed this requirement from its beginnings, noting that enforcement is difficult…
The disruptions and extreme complexities of the commodity supply chain create great risk that needs to be managed, as well as equally great opportunities if prices move in a favorable…
As the world’s investors become more sophisticated, the quest for portfolio diversification using more advanced strategies is growing. Investors from Wall Street to Main Street are seeking to include strategies…
Dear Members - If you think endless snow storms and wind chills below zero have gotten you pretty far down, don't even look at the new and proposed regulation discussed…
CFTC CFTC Adopts Rules Regarding Risk Management Programs for FCMs New CFTC Regulation 1.11 imposes specific risk management requirements on FCMs that accept any money, securities, or property (or extend…
In November, 2013, the CME Group announced changes to market data license agreements and schedules. The resulting increase in user fees significantly affect all NIBA members. NIBA members voiced several…
March 6, 2014: 2:00pm - 7:00pm Sessions Begin: 2:30pm Marriott Newport Beach There will be two information sessions followed by a networking reception with the speakers, CME Group, NFA representatives…
