NIBA Summer Marketing & Sales Event Hosted at the Kansas City Board of Trade

On June 21, 2012, the Kansas City Board of Trade will host the NIBA Summer Marketing and Sales Event. Registration and coffee open at 1:15pm and the business sessions begin at 2:00pm. A cocktail reception will follow immediately. The Kansas City Board of Trade, established near one of the world’s most fertile growing regions, is the largest free market for…...

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It’s Still a Weather Market | Summer Conference Presentation Summary

In an era of surging world commodity demand and continual tight supplies, weather happenings both in the U.S. and in such global production areas as Brazil, Argentina, Ukraine, and China have the market’s attention on a day-to-day basis. DTN senior ag meteorologist Bryce Anderson will discuss the impact of such features as floods and drought on the market’s psyche. He…...

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Recap: “Forex Exchange Traded or Cash?” – April 18, 2012, New York City Conference

The kick-off session at the April 18, Spring NIBA meeting in New York City was concentrated on Forex Transactions. The panel was sponsored by the CME Group and included Craig LeVeille, Executive Director, FX Products, CME Group, Steven Hatzakis, Steven Joseph Hatzakis, CTA and Raphael Savrnoch, Vice-President, Business Development, Alpari US. In the audience interactive discussion, we focused on four…...

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Conflict of Interest Rules

Conflict of Interest The CFTC has adopted Rule 1.71. The Rule pertains to Conflict of Interest and will require most CFTC registered firms to implement a “Chinese wall” between the research department and non-research departments, and will therefore mainly impact the business trading unit or clearing units at futures commission merchants and introducing brokers, as applicable. The rule goes into…...

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Bylaw 1101 Implications of the Recent CFTC Part 4 Changes

Recently, the CFTC issued rules to eliminate the 4.13(a)(4) exemption and add marketing and trading restrictions to the 4.5 exemption that exempted certain pool operators from registering as a CPO. Although the effective date of the 4.5 changes is still pending, entities that currently hold 4.13(a)(4) exemptions will only remain exempt until December 31, 2012. Prior to that date, exempt…...

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TelventDTN Market Update

DTN ProphetX is the flagship technical analysis and trading package offered by TelventDTN. In serving DTN ProphetX customers around the globe, we see new requirements every day. The software must handle higher volumes in just about all markets. We also continue to encounter new demands for data and specialized product capabilities. In meeting these challenges, we continue to add access…...

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NIBA’s Semi-Annual Legal Review Summary

Many introducing brokers (IBs) have claims in the MF Global Inc. (MFGI) SIPA liquidation. These claims have generally been for IB proprietary funds held in MFGI segregated futures accounts and for commissions earned during October 2011, although some IBs are also evaluating the potential for other claims based on damages and lost profits deriving from MFGI’s collapse. Claims for funds…...

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FIA Special Report: House Financial Services Panel Holds Third MF Global Hearing

Lawmakers on the Oversight and Investigations Subcommittee of the House Financial Services Committee held a hearing on March 28 to investigate the events that led to the loss of customer funds at MF Global during its final days before going into bankruptcy. The witnesses included four current and former MF Global executives. At the start of the hearing, Representative Randy…...

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Global Trading

As an IB, you may well have clients outside the US. In these cases, the need for non-US price data and currency conversions, time differences, language issues and more can arise. While the language issues may be difficult, and time differences inconvenient, software tools can help in other areas. As an example, a customer may wish to monitor their US…...

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Use and Investment of Customer Funds by Financial Institutions

1. Introduction Regulation 1.25, promulgated by the United States Commodity Futures Trading Commission (“CFTC”), sets forth the types of products and instruments in which futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) may invest customer funds held in segregated accounts (“Permissible Investments”).[1] Related regulations pertaining to “secured funds” (CFTC regulation 30.7), “cleared swap customer collateral funds–FCMs” (CFTC regulation 22.2),…...

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