NIBA at the RJO Annual IB Conference
NIBA wants to thank RJ O’Brien for inviting us to exhibit and attend its Annual IB Conference March 4 and 5. It was great to see NIBA members who clear…
Housekeeping, Reminders and Updates
Financial Crimes Enforcement Network The Financial Action Task Force (“FATF”) updated its list of jurisdictions with strategic anti-money laundering (“AML”) and counter-terrorist financing (“CFT”) deficiencies. In response, the Financial Crimes…
Ask the NFA
1. During the course of an NFA audit, when an item is noted in the audit report, how is that viewed internally by NFA? This depends on a number of…
Fix Your Users!
The cyber security industry has gotten great at boundary defense. “Firewalls, Firewalls, Firewalls” - that’s all you heard for a long time emanating from the boardroom. Well the times they…
Prepare for 2016; NFA Examination Focus
The National Futures Association (“NFA”) Rules and Commodity Futures Trading Commission (“CFTC”) regulations that govern the futures, forex, and swap trading industry are subject to continuous interpretation, amendment, and update.…
NFA announces Dashboard webinar on February 25
announces Dashboard webinar on February 25 In preparation for the launch of the NFA Dashboard, the new entryway to NFA's Online Registration System (ORS), NFA will conduct a webinar on…
NIBA Event- New York City — April 20
The NIBA spring membership event will be held on April 20, 1:30-6:00pm at the New York Athletic Club (NYAC), New York City. Three business sessions and a networking reception are…
Why Hackers Hack Websites: Securing Your Website for Compliance and to Protect Your Business
With the upcoming cybersecurity requirements by the NFA and nearly every regulatory body overseeing financial service industry participants, it’s important to not only comply with cybersecurity regulations but to use…
What’s Included with my Membership?
It’s membership renewal time! And once again this year, there is no increase in membership fees. Introducing Brokers, Commodity Trading Advisors and Commodity Pool Operators can join or renew Association…
February Chairman’s Letter
“To meet other IB and CTA owners.” “To attend the compliance sessions at the membership meetings -- I can understand what those guys are saying.” “To make sure the CFTC…
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