LEGAL CORNER: Do You Still Know-Your-Customers? You Better.
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…
NIBA Chairman Melinda Schramm to Participate in CFTC Proposed Account Ownership and Control Report
Melinda Schramm, Chairman of the Board and found of the NIBA has been invited to participate in a CFTC public meeting on September 16 in Washington, DC. The purpose of…
Introducing Fund Dynamics: A Fully Customized Accounting and Administration Company
CTA and IB's – Where is your Business going to be One, Two, Five Years from Now? During my last 20 years in the commodities business, I have seen many…
The Medium Defines the Message: Social Media and Compliance Considerations
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…
Financial Services Law Conference: Current Issues Around Town in Futures & Derivatives
Financial Services Law Conference: Current Issues Around Town in Futures & Derivatives A one day program covering a variety of current compliance issues Dear Friends and Colleagues, In this era…
The Benefits and Risks of Utilizing Social Networking Sites In the Workplace
Social Networking is one hot topic these days. Globally, interest and participation in social media is growing at phenomenal rates. While people increasingly understand how to use Social Networking tools…
Futures Magazine to host 7th I-Trade Show
For Immediate Release Futures Magazine to host 7th I-Trade Show CHICAGO, IL (June 17, 2010) – Futures Magazine, a Summit Business Media publication, will be hosting its seventh edition of…
Old Rules – New Interpretations: Speculative Position Limits
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…
Secret to Success: Integrity – NIBA Chairman’s Letter June 2010
Integrity: (i) Consistency of actions, values, methods, measures, principles, expectations and outcomes; (ii) The quality of having an intuitive sense of honesty and truthfulness… Source: Wikipedia, 2010 At the…
Times Like These Try a Broker’s Soul: NIBA President’s Message June 2010
The month of May was a treacherous one; continuing concerns over sovereign debt, the stability of the Euro, North Korean saber rattling, and the sustainability of the economic recovery -…