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.…
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…
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…
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…
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…
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…
Overview of the Last Ten Years of Segregated Funds Data for US FCM’s: Source: CFTC, in Billion USD. 10 Year Evolution of Segregated Funds: As illustrated above, 2011 & 2009…
Google AdWords is the most effective, budget-friendly, and powerful way to generate futures leads. Ads can be displayed not only on Google but on websites of all sizes from CNBC…
During a recent routine NFA audit of one of our Introducing Broker (IB) clients, it became apparent that NFA is enforcing the following: Security Deposits with your FCM are treated…
In the wake of the MF Global collapse, NFA is requiring CTAs and CPOs that managed assets at the failed FCM to make certain updates, disclosures and filings. CTAs must…
