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 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…
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…
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…
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'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…
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…
NATIONAL FUTURES ASSOCIATION Information Systems Security Programs - Cybersecurity On October 23rd the National Futures Association (“NFA”) announced the adoption of the interpretive notice regarding NFA Compliance Rules 2-9, 2-36…
Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA has seen a dramatic increase. With this increase came a renewed commitment by regulators to not…
While attending the recent NIBA conference, we learned about new rules affecting our industry. Brokers will no longer be able to email client documents to their customers, clearing relationships, or…
