Annual Member Meeting- September 24, 2015
Annual Membership Meeting - September 24 - Chicago The NIBA Annual Membership Meeting is scheduled for September 24 at the CME Group Building in Chicago. This is a full-day event…
NFA Reminder to Update ORS
Regulatory reminder: Accurate and current business contact information and email address When a firm first applies for registration, the applicant must provide the address of its main office location, its…
Thank you DePaul University!
Thank you to DePaul University and to the speakers at last week's NIBA/DePaul co-sponsored event in Chicago. Thank you especially to Dr. Carl Luft, Alex Perry, Mark Shore and Dr.…
Secrets from Inside the NFA
Until recently I was working as a field auditor with the National Futures Association (“NFA”). During my time at NFA, the self-regulator was enduring a great deal of criticism. After…
Get to Know the Regulator: CFTC Division of Swap Dealer and Intermediary Oversight
Who is in charge of the Division of Swap Dealer and Intermediary Oversight: DSIO is run by a Director, who is assisted by the DSIO Deputy Directors and Chief Counsel.…
Housekeeping, Reminders & Updates
Securities and Exchange Commission SEC Proposed Modernizing and Enhancing Information Disclosed and Reported by RICs and RIAs The Commissioners of the Securities and Exchange Commission (“SEC”) unanimously approved two (2)…
FIA Webinar: Cybersecurity Threats: Preparation & Response
Cybersecurity has been the subject of sessions at both the NIBA New York City event, April 1 and last week's joint program with DePaul University in Chicago. We will present…
Trading at Settlement (TAS) for Agricultural Futures
First Trade Date Monday, June 8, 2015 Trading at Settlement (TAS) is an order type that allows a market participant to buy or sell futures contracts during the trading day…
June Chairman’s Letter
Dear Members - The last few weeks have been busy for the NIBA. Just as we closed out a very successful member meeting in New York City, we stepped up…
Help Wanted!
Planning for the NIBA Annual Meeting, September 24 in Chicago is underway. If you would like to serve on the planning committee, please contact Mike Burke, [email protected] or Melinda Schramm,…
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