NIBA – Get to Know the Regulator
U.S. Commodity Futures Trading Commission Division of Clearing and Risk Who is in charge of the Division of Clearing and Risk: DCR is run by a Director, who is assisted…
Housekeeping, Reminders, and Updates December 2015
COMMODITY FUTURES TRADING COMMISSION Extension of Time-Limited No-Action Relief from Certain Recordkeeping Requirements On December 8th, the Commodity Futures Trading Commission (“CFTC”) issued a press release regarding the no-action letter…
NIBA in DC
On November 9, 2015, Steve Petillo, Mike Burke and I travelled to Washington, DC to meet with members of the Commodity Futures Trading Commission at their offices. Here’s a summary…
HOUSEKEEPING, REMINDERS AND UPDATES NOVEMBER 2015
COMMODITY FUTURES TRADING COMMISSION Form CPO-PQR and FORM CTA-PR Frequently Asked Questions On November 5, 2015, the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealers and Intermediary Oversight (“DSIO”)…
The Clock is Ticking; Required Cybersecurity Policies
The headlines in today’s paper should read: “The Wild West is back! Stick ups and heists at an all-time high!” Only today the villain is not riding up to a…
Breaking News!
On November 9, NIBA traveled to DC to meet with CFTC Commissioner Bowen and CFTC Chairman Massad. Issues suggested by the NIBA membership were discussed -- HFT definitions and CFTC…
November Chairman Letter
Dear Members, As you receive this newsletter, the NIBA will be in Washington DC at the office of the CFTC. The talking points/agenda for the Commission, was developed from suggestions…
NIBA Advisory Group
The NIBA is committed to serving the derivatives industry and as such has created an advisory group to our board. This group of highly qualified industry professionals will help to…
NFA Announces 2015 Nominations
NFA's Articles of Incorporation were amended to reduce the size of NFA's Board of Directors from 37 to 29 Directors. The new Board structure will be in place in February…
CFTC Requires NFA Membership for Registered Intermediaries
The CFTC has adopted a final rule, CFTC Rule 170.17, which will require almost all IBs, CTAs and CPOs to become NFA Members. CFTC Rule 170.17 requires each person or…
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