September Chairman’s Letter
From NIBA Chairman, Melinda Schramm September 08, 2016 Anniversary: the celebration or commemoration of an event recurring each year -Websters College Dictionaries, 2015 By now you know that NIBA is…
NFA Notice to Members
On August 24, 2016, NFA notified members that effective 2017, they will institute electronic voting. An essential component of the new process is the designation of your Executive Representative -…
NIBA’s First-Ever Compliance Debate – September 14th
Do you occasionally feel like there is a huge “gray area” surrounding a regulation? Did you ever think there must be a second or even a third way to approach…
Shot of a businessman going over paperwork while sitting at his desk in an office
Housekeeping, Reminders, and Updates
Mark E. Ruddy, Esq. and Elizabeth A. Cannon August 24, 2016 NATIONAL FUTURES ASSOCIATION NFA Updates Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs On August 15,…
CFTC & SEC Registration Considerations for Private Fund Managers
Nicole M. Kuchera and Joseph M. Mannon, Vedder Price August 23, 2016 This article provides a simple three step guide to registration considerations for managers of various types of…
Life of a Brokerage Firm – Part 2
Ron Grossman and Ryan Griffeth conducted a series of interviews discussing the various stages of a brokerage firm. Interviews are presented here in Q&A form. There are a number of…
August’s Chairman Letter
Teamwork: Cooperative or coordinated effort on the part of a group of persons acting together in the interests of a common cause. Dictionary.com Teamwork is one of the great strengths…
DePaul NIBA Conference Review
CTAs- do your Due Diligence priorities line up with those of your next prospective allocator? The NFA? What keeps CMEGroup’s Chief Security Officer up at night? Why does DePaul University…
The CFTC Proposes Significant Relief For Non-U.S. Market Participants
The U.S. Commodity Futures Trading Commission ("CFTC"), which regulates commodity interest transactions such as swaps and futures contracts, has requested comments from industry market participants on its proposed amendments to…
Keep ORS Records Up-To-Date
NFA's Online Registration System (ORS) is the web-based CFTC registration and NFA membership application system. In order to ensure firms and individuals receive NFA communication, it is important that all…
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