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NIBA & DePaul Internship Program
NIBA and DePaul have joined efforts to introduce highly qualified graduates to members looking to bring state of the art edge to their own business. DePaul is dedicated to provide…
Chairman’s Letter – April 2017
“We do believe there are too many regulators...” Sharon Brown-Hruska, 1960- Sharon Brown-Hruska is a former Acting Chairman of the CFTC (2004-2005) and current director at NERA Economic Consulting. As…
2017 NIBA SoCal – Macro-economic Outlook 2017
Erik Norland, Executive Director and Senior Economist of CME Group will present his overview of the entire economic spectrum in his presentation on the 2017 macro-economic outlook. Topics will include:…
2017 NIBA SoCal – Cyber-Security – Annual Review Requirements for your Information Systems Security Programs (ISSP)
As you are well aware, the number and sophistication of malicious cyber threat incidents in the financial sector has increased dramatically over the past five years and is expected to…
2017 NIBA SoCal – Marketing is a Process
Whether you’re an IB or a CTA, selling retail trading, institutional execution, or managed futures - marketing starts with a process. From creating leads, recording lead and sales notes, to…
A Broker’s Expanding Obligations
By Matthew Kluchenek and Michael Sefton It’s no secret that disruptive trading practices are a key concern of market regulators. Spoofing and other disruptive trading practices have garnered attention in…
Portrait Of Business People Working Together In Office
Ask NFA – March 2017
As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. “Ask the NFA,” is the way you can ask questions about…
Housekeeping, Reminders and Updates – March 2017
Written by: Mark E. Ruddy, Esq. & Jessica I. Brown, CAMS NATIONAL FUTURES ASSOCIATION Financial Reporting Requirements of Commodity Pool Operators The Commodity Futures Trading Commission (“CFTC”) amended certain items of…
8 Reasons Why Every Financial Services Firm Needs a CRM
Whether you are a single fund manager or an advisor with 10-100 agents, you’re under pressure to meet ever-changing compliance requirements while running and growing your business. No small task.…
Intent to Nominate J. Christopher Giancarlo as CFTC Chairman
President Donald J. Trump announced his intent to nominate a number of key administration officials. This announcement included nomination for Chairman of the CFTC. Below is from the White House…
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