Conference Session Preview – Compliance

Have you attended compliance sessions in the past that have not quite addressed your concerns or perhaps hit topics that were interesting but not relevant to your firm?  This year we have setup our compliance session just for you!  The session titled “Whats on your Mind?” answers just that calling by creating an audience driven session.  What does that mean exactly?  You are in the driver’s seat and can select in real time the compliance topics you would like to hear the panel discuss.  This panel is a great mix of compliance experts and regulators.  Below is a bio for....

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NIBA Fall Chicago Conference

Registration is open and seats are filling up quickly.  The full agenda has been posted to the website.  This year’s theme is “Business Development in a Regulated Environment”  Please use the following link to secure your spot at this year’s conference: Conference Registration

NFA Promotional Material Filing

On Tuesday, August 14, 2018, NFA launched a new Promotional Material Filing System. The new system provides firms the ability to seamlessly track their promotional material submissions throughout the entire review process, access correspondence and communicate with NFA reviewers, and view previously-filed promotional material for reference. NFA held a webinar to educate firms on the new system.  If you were not able to attend the webinar you can find an archived version below. Promotional Material Filing System Webinar – Archived...

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Grow Your Business with Options – Sept 13th

Diversification is not just something we want our customers to utilize. Diversified revenue streams have become more and more important in the brokerage world. Options products offer a way to diversify your revenue stream and provide a new product to your customer base. Our panelists are experts in this area and will not only be discussing how and why you should be using options but also how to implement successfully within your business. Space is limited….reserve your spot while seats are still available. The experience and expertise of this panel is mind boggling and if you have thought about utilizing.

Title Connecting: Personal Branding & Networking Strategies NIBA Fall Conference – Sept 13th

Jessica Titlebaum Darmoni, Business Development and Marketing Expert & Founder of The Title Connections to speak @ NIBA Fall Conference. Jessica will share her experience and expertise in an area that is extremely important to all participants of the brokerage industry. Space is limited….reserve your spot while seats are still available. Jessica Titlebaum Darmoni has over 15 years of experience building relationships, networking and connecting the dots. Jessica was able to build an extensive network as co-Founder and President of Women in Listed Derivatives (WILD). As WILD’s President, Jessica led WILD’s parent Board in Chicago from 2009-2014 and established branches.

Thank You – DePaul University

Thank you to DePaul University for another hugely successful joint symposium. This marks the 5th year NIBA has partnered with DePaul University to present an afternoon of education and networking for our members — and another standing-room-only event. This year’s topics included blockchain, NFA-audit triggers, new AML requirements, implementation of GDPR and changes to cyber-security regulations. The highlight of the meeting was an intimate and very informative armchair chat featuring Leo Melamed, pioneer of financial futures and Chairman Emeritus of CME Group. Big thanks also to the Joint NIBA/DePaul Symposium Committee. The 2018 event committee included: – Tom Sandy, Chairman....

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NIBA Chicago Conference – Sept 13th

Registration is now open for the upcoming NIBA Chicago Conference.  Please click here to register for this event.  The full agenda will be posted at the end of this week so be sure to check back for updates and announcements.  This will be a full day program followed by a cocktail networking reception. EVENT PAGE

Trade War Costs to Consumers, Companies and Nations

New Report: Trade War Costs to Consumers, Companies and Nations Fallout from the escalating U.S.-China trade war will ripple through consumers, companies and the world’s two largest economies. Any hit to the bottom lines of American companies will be modest, relative to the size of overall corporate profits. Learn More    ...

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CFTC Grants NIBA’s No-Action Request regarding certain FASB Changes

On August  13, the CFTC granted no-action and issued a no-action letter regarding certain FASB changes set to take effect as early as December 15, 2018 for certain IIBs, FCMs and other CFTC-registrants that are broker-dealers. The Lease Accounting Update as proposed would have resulted in a decrease in regulatory capital as compared to the current accounting treatment. NIBA submitted a request for no-action to the CFTC on this item in March. SIFMA and the FIA also submitted documentation. In support of our request, we noted that the Lease Accounting Update is purely a matter of accounting that does not....

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IB Handbook

CME Group has posted the latest edition of The Complete IB Handbook on its website at cmegroup.com/ibhandbook, written by Melinda Schramm, Founder & Chairman of the NIBA. Melinda has written the definitive guide on how to become an Introducing Broker and the state of the IB community today. If you want to open your own shop, if you need an attorney or accountant or if you’re preparing for your first audit —  this is the book for you. Based, in large part, on the responses received as a result of the survey of the IB community conducted by Melinda and....

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