Greetings NIBA members and supporters, We urge you to sign the following petition in order for the bankruptcy court to have a chance to hear from you - the broker,…
Dear Members - Have you ever needed to talk to an attorney who knows what a "GIB" is? Would you like to know an accountant who can read a client…
About the Firm: How did you get started? After graduating from Southern Illinois University, I worked in animal husbandry field for several years. The desire to increase revenue while controlling…
On September 12, 2011, it was my pleasure to give a presentation for the National Introducing Brokers Association, “Grow Your Business by Hiring the Right People.” The response to my…
In our previous article, the benefits of managed futures mutual funds were discussed. This article tackles some of the major issues in establishing a mutual fund. Steps Necessary for Mutual…
Patricia Cushing Associate Director, Compliance, National Futures Association The recent amendments to NFA’s Compliance Rule 2-30 (often referred to as the “Know Your Customer” rule), the proposed changes to CFTC…
In the last issue, we covered why a sentiment indicator should work. Now it’s time to look at a practical application. In sentiment indicators, the history being repeated is the…
A proposed CFTC Rule focusing on preventing conflicts of interest between researchers and traders, and a proposed amendment to another Rule designed to enhance record-keeping and recording requirements, were two…
Managed futures mutual funds appear to clear one significant regulatory hurdle Broad distribution of managed futures through a mutual fund structure, which at one point faced an uncertain future, appears…
About You: How did you get started? Do you provide additional services besides brokerage? I began at the MidAmerica Exchange in Chicago in 1976, and have traded on COMEX since…
