Reporting Requirements for Memorial Day
This is a reminder that Monday, May 27, 2013 is Memorial Day. This holiday will impact your regulatory filings as follows: Daily segregated, 30.7 secured, sequestered and daily forex statements…
The Top 21 Chief Technology Officers in North American Electronic Trading
We have compiled a list of the top 21 Chief Technology Officers in the electronic trading industry, operating in North America. The 21 CTOs were selected based on a survey…
Outlook for IB Claims in MF Global Bankruptcy Improves, Claim Sale Opportunities Arise
Many IBs have general unsecured claims in the MF Global Inc. SIPA liquidation. As demonstrated by the recent sale of a large general unsecured claim at 90% of the claim…
Legal Updates for IBs, FCMs and Other CFTC Registrants
While most of the attention in the futures industry has been focused upon the new swaps regulatory framework, the Commodity Futures Trading Commission (“CFTC”) and the National Futures Association (“NFA”)…
Strengthening Customer Protections Through Re-Authorization
Every five years, the Commodity Exchange Act must be “re-authorized” by Congress. The Senate is gearing up for that process now. We hope that strengthening customer protections will be the…
Poll: 17.5 or 21 hour Day, What do you Say?
On April 17, 2013, the CME Group reduced grain and oilseed trading hours from 21 hours to 17-1/2 hours per day. This schedule cut afternoon hours and created a 45-minute…
A note from Jeff Malec, IIB representative for the NFA Board of Directors
It has been a quick three months since I was elected as the Independent Introducing Broker representative on the NFA Board of Directors, and I wanted to take a moment…
IB Certified Audits—Reporting Requirements to Keep In Mind
After a busy audit season that included many new rules implemented by NFA and CFTC, we would like to share some reminders and insights. Use of Online Payment Systems If…
Series of Settlements Moves Ball Forward for MF Global Commodity Customers
A number of settlements between three MF Global administrators and JP Morgan Chase has opened the door for substantial distributions to be made to former commodity customers of the US…
Eagle Way Capital LLC | April 2013 NIBA Focus on the Membership
Profile Questionnaire Firm Name: Eagle Way Capital LLC Year Founded: 2009 Number of Brokers: 3 Primary Registration Category: We are an independent IB, futures ad forex. We are also a…
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