NIBA CFTC Comment Letter
March 16, 2016 Mr. Christopher J. Kirkpatrick Secretary of the Commission Commodity Futures Trading Commission Three LaFayette Centre, 1155 21st Street, NW Washington, DC 20581 RE: Proposed Rulemaking on Regulation…
March 16, 2016 Mr. Christopher J. Kirkpatrick Secretary of the Commission Commodity Futures Trading Commission Three LaFayette Centre, 1155 21st Street, NW Washington, DC 20581 RE: Proposed Rulemaking on Regulation…
For the last several months Cybersecurity has been on everyone's radar. Now that the implementation deadline has passed, many NIBA IBs have put something basic in place. For those NIBA…
1. During the course of an NFA audit, when an item is noted in the audit report, how is that viewed internally by NFA? This depends on a number of…
The cyber security industry has gotten great at boundary defense. “Firewalls, Firewalls, Firewalls” - that’s all you heard for a long time emanating from the boardroom. Well the times they…
The National Futures Association (“NFA”) Rules and Commodity Futures Trading Commission (“CFTC”) regulations that govern the futures, forex, and swap trading industry are subject to continuous interpretation, amendment, and update.…
announces Dashboard webinar on February 25 In preparation for the launch of the NFA Dashboard, the new entryway to NFA's Online Registration System (ORS), NFA will conduct a webinar on…
The NFA recently adopted an Interpretive Notice titled “Information Systems Security Programs” (Cybersecurity Interpretive Notice). This new NFA policy, which goes into effect March 1, 2016, requires FCMs, IBs, CTAs,…
Brian Clark is the CEO of Ascent Technologies, Inc. (www.Ascent.is), a company that offers a compliance platform for users to help them identify, track, and manage the vast amount of…
The Commodity Futures Trading Commission (“CFTC”) has proposed a new rule -- so-called Regulation AT -- to regulate the use of automated, or algorithmic, trading systems that trade commodity interests…
As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…