NFA Members are required to ensure that their customer solicitations and promotional materials are in compliance with NFA Compliance Rule 2-29. Subsection (a) applies to any type of communication with…
Written by: Jeffry Henderson, Shareholder, Greenberg Traurig Douglas Arend, Of Counsel, Greenberg Traurig On March 29, 2023, National Futures Association (NFA) adopted Compliance Rule 2-51 (Rule 2-51), which became effective…
To All Derivatives Compliance Officers: NIBA is excited to announce the formation of a new working group specifically focused on the concerns of compliance officers in the derivatives industry. The…
NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on recent regulatory developments concerning introducing brokers. Introducing Brokers, Commodity Trading Advisors and Commodity Pool Operators have long had…
One of the top priorities for any business is to protect its systems and data from cyber security threats. Many security attacks come through vendors which have access to critical…
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…
