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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Industry Education Meeting
On July 19, the NIBA was invited to meet with representatives of the CFTC to discuss the status of customer education in the industry. NFA hosted the meeting in its…
Portrait Of Business People Working Together In Office
Customer Due Diligence
The Financial Crimes Enforcement Network issued a final rule, to clarify and strengthen customer due diligence requirements, which became effective on July 11, 2016 for which covered financial institutions must…
Shot of a businessman going over paperwork while sitting at his desk in an office
Housekeeping, Reminders, and Updates
COMMODITY FUTURES TRADING COMMISSION Guidance on Clearinghouse Recovery and Wind-Down Plans On July 21, 2016, the CFTC announced the publication of guidance to clearinghouses on recovery plans and wind-down…
Life of a Brokerage Firm – Part 1
Life of a Brokerage Firm <Part One> Ron Grossman and Ryan Griffeth conducted as series of interviews discussing the various stages of a brokerage firm. Interviews are presented here in…
Just Following Orders
There can be no doubt about the vast, if not monumental, effect that modern technology has brought to the futures broker industry. Processes that were once the purview of man-made…
DePaul University Derivatives Briefing Summary, NFA Cybersecurity Requirements
On July 14, 2016, NIBA hosted a cybersecurity panel focused on the new NFA requirements that became effective on March 1, 2016. Dale Spoljaric of NFA, Gil Vega of CME and…
The Complete IB Handbook
The Complete IB Handbook has recently been updated WWW.cmegroup.com/ibhandbook Written by Melinda Schramm, Founder of the NIBA and President of MHS Capital Resource, Inc. and sponsored by the CME Group,…
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