Compliance / Legal

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA rules. "Ask the NFA," is the way you can ask questions about…

In this age of heightened regulatory scrutiny and the ever increasing risk of litigation from former employees and customers, coupled with the need to protect valuable trade secrets, it has…

 “Ask the NFA” 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…

On June 5, 2014 NFA issued Notice to Members I-14-13, which outlined important changes that were made to CPO Form PQR and CTA Form PR that will become effective for…

As a NIBA member, you are already familiar with the process of applying for CFTC registration and NFA membership. But you may not be familiar with the diverse array of…

On Friday, June 6 the CME Group notified us about a new "netting" policy with regard to market data fees which will apply to IBs. The NIBA has been communicating…

The latest issue of the IMF’s Global Financial Stability report (GSFR, March 2014) provides a comprehensive analysis of the “too important to fail” (TITF) problem.   http://www.imf.org/External/Pubs/FT/GFSR/2014/01/index.htm  The TITF problem…

In Re: Notice to Members I-14-03 Request for Comments - CPO/CTA Capital Requirement and Customer Protection Measures April 14, 2014 National Futures Association:  The following comments regarding the above captioned…

Notice to Members I-14-09 April 2, 2014 FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies On March 25, 2014, the Financial Crimes Enforcement Network (FinCEN) issued an…

Peregrine Financial Group Inc.’s trustee agreed to settle a dispute with JPMorgan Chase & Co. in a deal that will bring more than $15 million to creditors of the commodities…