CFTC Roundtable: Ownership and Control Report
In my role as Chairman of NIBA, I was invited to represent our organization at the CFTC Staff Roundtable held in Washington, DC on September 16. The topic was OCR…
In my role as Chairman of NIBA, I was invited to represent our organization at the CFTC Staff Roundtable held in Washington, DC on September 16. The topic was OCR…
On January 3, 2011, amendments will become effective to NFA Compliance Rule 2-30, commonly referred to as the Know-Your-Customer Rule. (See also NFA website and Notice to Members I -10-15…
Everyone who has tried their hand at marketing has obsessed over the content of an ad or promo piece, and we have all struggled with the difficulty of reaching and…
Due to the rapid rise and rapid fall of the crude oil market in 2008, the CFTC has recently proposed a new rule on speculative position limits for the energy…
Independent Introducing Broker Net Capital Requirements Independent Introducing Brokers ("IIB") or non-guaranteed Introducing Brokers have a capital requirement mandated by the NFA Rules and CFTC Regulations. The following will discuss…