Baker & McKenzie to serve as counsel to the NIBA
NIBA is pleased to announce that the law firm of Baker & McKenzie has agreed to serve as councel to the Association. The lead attorney for Baker & McKenzie will be…
Perfect Competition
There was a time, not too long ago, when broker-dealers were perceived as providing value to their customers. They would get on the phone, chat to customers, talk about the…
NIBA/DePaul Event Video Recap
Thank you again to DePaul University and to the speakers at the NIBA/DePaul co-sponsored event in Chicago. Nearly one hundred NIBA members heard sessions on meeting the challenges of marketing…
NFA BYLAW 1101: APPLICATION OF NFA BYLAW 1101 IN VARIOUS COMMON SCENARIOS
NFA BYLAW 1101: APPLICATION OF NFA BYLAW 1101 IN VARIOUS COMMON SCENARIOS If you are member of the National Futures Association (“NFA”), you have probably heard that you are required…
The Vanishing FCM
The “vanishing FCM” has recently become a hot topic. CFTC Commissioner Giancarlo gave a speech to the Market Risk Advisory Committee in June 2015, where he pointed out the dwindling…
HOUSEKEEPING, REMINDERS AND UPDATES JULY 2015
Commodity Futures Trading Commission Commodity Trading Advisors On July 23, 2015 the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued press release PR7202-15 announcing…
Ask the NFA
As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
Notice to Members I-15-18 On July 20, 2015, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) had updated its list of…
The Remarkable Growth of Options on Futures
Trading of futures options is growing rapidly and has widely been viewed as a market primed for expansion. While somewhat nascent compared to equity and index options markets, the Tabb…
Chairman’s Letter
Dear Members - I recently completed a survey of registered Introducing Brokers for the guide I am writing for the industry. I have been writing The Complete IB Handbook, now…
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