NIBA Survey: Protecting Customer Funds
Create your free online surveys with SurveyMonkey, the world's leading questionnaire tool. The survey will remain open until September 10th and we’ll and share the final results at the NIBA…
Important Message for Customers of Peregrine Financial Group and Peregrine Asset Management – Updated on July 12, 2012
FROM THE NATIONAL FUTURES ASSOCIATION. View Original Posting here. ---------------------------------------------------------------------------------------------------------------------------- On July 9, 2012, National Futures Association took an emergency enforcement action against Peregrine Financial Group, Inc. (PFG), an NFA…
NIBA Statement on PFGBest Failure
On Thursday July 12th 2012, Melinda Schramm, Founder and Chairman of the NIBA was iin Washington, DC to discuss with CFTC official issues surrounding the collapse of PFG including orderly…
CFTC reportedly plans client-fund protection in wake of allegation
From the FIA SmartBrief today: The U.S. Commodity Futures Trading Commission is set to adopt safeguards for client funds in the wake of a shortfall allegation against Peregrine Financial Group and…
NFA | Notice: I-11-07
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 April 12, 2011 NFA requires all Members to review the Self-Examination…
NIBA Chairman’s Letter: What Would You Like to Say to the CFTC?
On April 18th, I will be visiting the Commission in Washington D.C. with one purpose - to bring the opinions of NIBA's members directly to the CFTC Commissioners. CFTC's response…
Legal Corner: Keeping Up With the Times
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.…
President Bush, Refco &“The Chihuahua”
It’s not overtly obvious, but these seemingly unrelated topics actually do have a connection. Let me explain. President Bush was at the Union League Club in Chicago last month promoting…
Updated NFA Documents
The NFA website has posted some updated documents including Disclosure Documents, Forex Reg Guide, Comp Rules 2-29, and the Self Examination Checklist. To view these documents please visit www.nfa.futures.org they will…
NFA Offers Guidance on CFTC’s Final Forex Regulations
Notice to Members I-10-21 October 13, 2010 NFA offers guidance on CFTC's final forex regulations The Commodity Futures Trading Commission's (CFTC) final Forex regulations are effective on October 18, 2010.…