Compliance / Legal

NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on select recent CFTC enforcement actions concerning introducing brokers. CTAX Partners – Too Close for Comfort This case serves…

Written by: Matthew Kluchenek, Partner, Mayer Brown LLP; Matthew Bisanz, Partner, Mayer Brown LLP; Anna Easter, Associate, Mayer Brown LLP Last month, the Commodity Futures Trading Commission (“CFTC”), the regulator…

NIBA Service Provider Member, Ballard Spahr provides their insights on select recent CFTC enforcement actions. EOX Holdings LLC EOX Holdings LLC is an introducing broker who was recently found by…

In the last few years, CFTC has used CFTC Rule 180.1 to pursue claims as frequently, if not with greater frequency, than claims brought under traditional fraud provisions such as…

On Tuesday, December 7, 2021 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the NIBA will hold a webinar discussing NFA supervision requirements as they pertain to hybrid and remote…

On Thursday, September 23, NFA and the National Introducing Brokers Association (NIBA) held a webinar that discussed recent regulatory developments in relation to current hybrid and remote work environments. During…

On Thursday, September 23 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the National Introducing Brokers Association (NIBA) will hold a webinar discussing recent regulatory developments in relation to current…

To provide Members with an opportunity to ask questions of NFA's leadership, NFA will conduct a Town Hall webinar on Tuesday, April 20, 2021, at 9:30 a.m. CT/10:30 a.m. ET.…

In January 2021, at the request of Futures Industry Association (“FIA”), CME Group Inc. (“CME”), ICE Futures U.S. (“IFUS”), and the Minneapolis Grain Exchange, LLC (“MGEX”), the CFTC granted partial…

CFTC’s Coronavirus (COVID-19) Response By: Jua T. Tawah, Esq. As the Commodity Futures Trading Commission (CFTC or Commission) began taking action in response to the COVID-19 pandemic back in March,…