NIBA Journal

Insights, analysis, and updates from the National Introducing Brokers Association

The Chairman's Letter - January 2010
Operations
May 20, 2010
2 min read

The Chairman's Letter - January 2010

In the coming year, the NIBA is adding two more ways to become a member. First, we are actively expanding our membership to include CTAs. Originally organized as an association for Introducing Brokers, NIBA has been welcoming CTAs to share information and to membership meeting for several years. In 2010, CTAs are invited to join the NIBA with full membership privileges including serving on the Board of Directors. Fees for both IB & CTA members are $150.00 per year. Second, NIBA is also accepting membership of individuals registered in the futures and/or equities industry (APs/RRs). Individuals who hold a Series 3, 7 or 63 license AND whose sponsoring firm is NOT primarily registered as an IB or CTA, may join the NIBA for $75.00 per year. John Jensen and Ralph Preston have begun the 2010 membership campaign. You can contact them directly at hwfi@pacbell.net. The NIBA Board of Directors also...

By NIBARead article
How To Make the Most Out of a Conference
Marketing
September 11, 2009
5 min read

How To Make the Most Out of a Conference

16 years ago, Horizon Cash Management asked a host of industry professionals to contribute their best tips for making the most of a conference. Remarkably, many of those suggestions are as timely and appropriate today as they were when first submitted. Among those helpful hints: "Set definite goals for what you expect to accomplish. Make appointments in advance. Bring lots of business cards and disclosure documents. Focus on making friends, not just business contacts. Talk to your competitors: you might learn something important. Eat and drink sensibly: party some other time." --Jane Martin, MFA "Visit the exhibit hall early: vendors often run out of the best stuff. Don't bother to take promotional literature: people appreciate not having to travel with this extra bulk. Think of having business cards with your picture on them: it might help others remember you after three mind-numbing days of shaking hands and smiling." --Frank Smith,...

By NIBARead article
Networking Legalities: Avoiding Legal Pitfalls
Marketing
May 11, 2009
1 min read

Networking Legalities: Avoiding Legal Pitfalls

With the NIBA Sales & Marketing Seminar set for October 20, 2009, followed the next day by the CTA Expo, our Members are presented with wonderful opportunities to meet other industry participants, such as CTAs and Capital Raisers, and to explore new business opportunities. But, are there any legal pitfalls to avoid when discussing or touting your business models? While we must continuously navigate through the regulatory structure controlling registration requirements, types and methods of permissible solicitations of investors and how properly to configure revenue sharing arrangements, typically at professional conferences of this sort these legal issues are premature. The audience at these events will consist of industry professionals and presumably not the general public searching for investment opportunities. If appropriate to your business, you may consider having available copies of your disclosure document or private placement memorandum to share if circumstances so dictate. Otherwise, enjoy the conferences and be...

By NIBA
CME Group Now Offering Free, Independent Market Analysis to NIBA and Their Customers
Marketing
May 11, 2009
2 min read

CME Group Now Offering Free, Independent Market Analysis to NIBA and Their Customers

As a futures professional, you are always focused on getting new clients, keeping the ones you have, and providing solid, up-to-date information that your clients will value. To help you do this, CME Group now offers free independent market analysis in the Education section of our website at: http://www.cmegroup.com/education/market-commentary/Commodities/ Intra-day Market Analysis: CME Group's market analysis covers Grains, Currencies, Precious Metals and Energies and also provides technical insights into Equity Indexes. And it's provided by top industry analysts commenting on the most popular markets up to three times a day. Special Reports and Market Updates: You'll also find in-depth analysis of breaking news in special reports from key research firms from around the world. In many cases these reports will come at critical points in the market, when you can use their insight and information the most. Impartial Third-party Contributors: All commentary is provided firms whose primary business is research...

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