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NFA
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May 12, 2011
Recent Changes to NFA's Self-Examination Questionnaire and Interpretive Notice 9020 entitled Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires
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Compliance/ Regulatory
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Melinda Schramm
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March 23, 2011
What would you like to say to the CFTC? I will be visiting the Commission on April 18 with one purpose - to bring the opinions of NIBA's members directly to the Commissioners.
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Compliance/ Regulatory
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Steve Pherson
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March 22, 2011
As we all settle into a new year, the growth of your business is your obvious goal. However, the matrix of industry rules, regulations and compliance procedures continues to evolve. So keeping up with the times, and remaining aware and diligent of your regulatory and business obligations, is not be overlooked.
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Compliance/ Regulatory
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Mark DeRolf
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December 15, 2010
It’s not overtly obvious, but these seemingly unrelated topics actually do have a connection. Let me explain...
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Compliance/ Regulatory
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NIBA
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November 11, 2010
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Compliance/ Regulatory
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NIBA
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October 15, 2010
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Compliance/ Regulatory
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Melinda Schramm
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October 15, 2010
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Compliance/ Regulatory
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Steven P. Pherson
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September 07, 2010
Upcoming impact of amendments to NFA Compliance Rule 2-30, commonly referred to as the Know-Your-Customer Rule.
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Compliance/ Regulatory
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Marc Nagel
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August 16, 2010
Everyone who has tried their hand at marketing has obsessed over the content of an ad or promo piece, and we have all struggled with the difficulty of reaching and engaging our target audience. I won’t diminish the importance of the message, but to reach certain audiences, the medium of communication may be as important as the message you are sending. In 1964, Marshall McLuhan declared that” the medium was the message”. He couldn’t possibly foresee Twitter or even the internet, but his words are truly prophetic. Media has transcended the mere delivery of information and become interactive, even social.
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Compliance/ Regulatory
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Marc Nagel
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June 15, 2010
Unusual and surprising consequences of the interpretation and application of speculative position limits.
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Compliance/ Regulatory