CFTC & Compliance Issues for 2019
The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association (“NFA”) member firms are most focused on growing their book of business.…
NIBA NYC Spring 2019
Planning is well under way for this spring's annual NIBA NYC event. The date for the event has been set for April 10th and will be held at the prestigious…
CFTC and K-State to Host 2nd Agricultural Commodity Futures Conference
The Commodity Futures Trading Commission (CFTC) and the Center for Risk Management Education and Research (CRMER) at Kansas State University will host AgCon2019, the 2nd annual agricultural commodity futures conference…
Reminder: New Virtual Currency Disclosure Requirements
Due to the significant growth of the virtual currency market, the NFA has proposed an interpretive notice to the CFTC invoking the “ten-day” provision and will make it effective 10…
5th Annual Cyber Risk Conference at DePaul University
New and evolving technologies such as artificial intelligence, predictive analytics, machine learning and robotic process automation are now an everyday reality. Similarly, use of the Cloud and third-party systems have…
Options on Futures as Strategic Investment Vehicles
A new report from Tabb Group explores why more companies are using instruments like options on futures. From explosive growth in electronic trading to regulatory tailwinds incentivizing their use, options…
Chairman’s Letter – November 2018
When January and February were added to the Roman calendar and November became the eleventh month of the year, it retained its original Latin name novem meaning nine -- I…
NIBA Advisory Group
Four years ago, NIBA created an Advisory Group (AG). The AG includes participants from all areas of the derivatives industry --including among others, regulation, agriculture, marketing, legal, education and brokerage.…
CTA/CPO Ratio Errors; NFA PQR and PR Filings
This month NFA put out a fantastic reminder about common CTA/CPO ratio errors and the obligations facing reporting firms. In particular they have laid out their expectations for CTA and…
CFTC to Hold Open Commission Meeting 11/5
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced today that the CFTC will hold an open meeting on Monday, November 5, 2018 at 10:00 a.m.…
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