Member Announcements

“Don’t cry because it’s over, smile because it happened”                                                             -- Dr. Seuss, aka Theodor Geisel (1901-1991)   Don’t you just love Dr. Seuss? His quote above perfectly sums up…

Ron Grossman and Ryan Griffeth conducted a series of interviews discussing the various stages of a brokerage firm.  Interviews are presented here in Q&A form.  There are a number of…

Teamwork: Cooperative or coordinated effort on the part of a group of persons acting together in the interests of a common cause. Dictionary.com Teamwork is one of the great strengths…

CTAs- do your Due Diligence priorities line up with those of your next prospective allocator? The NFA? What keeps CMEGroup’s Chief Security Officer up at night? Why does DePaul University…

NFA's Online Registration System (ORS) is the web-based CFTC registration and NFA membership application system. In order to ensure firms and individuals receive NFA communication, it is important that all…

On July 19, the NIBA was invited to meet with representatives of the CFTC to discuss the status of customer education in the industry. NFA hosted the meeting in its…

The Financial Crimes Enforcement Network issued a final rule, to clarify and strengthen customer due diligence requirements, which became effective on July 11, 2016 for which covered financial institutions must…

COMMODITY FUTURES TRADING COMMISSION   Guidance on Clearinghouse Recovery and Wind-Down Plans On July 21, 2016, the CFTC announced the publication of guidance to clearinghouses on recovery plans and wind-down…

Life of a Brokerage Firm <Part One> Ron Grossman and Ryan Griffeth conducted as series of interviews discussing the various stages of a brokerage firm.  Interviews are presented here in…