Calling All IBs!
I have been writing The Complete IB Handbook since 1998 - this year marks the 6th edition. The Handbook is a look at the state of Introducing Broker business today…
Housekeeping, Reminders and Updates
Foreign Account Tax Compliance Act Cayman Islands Update The Cayman Islands Department of International Tax Cooperation (“DITC”) has further extended the due dates for submitting Foreign Account Tax Compliance Act…
Recent CFTC Enforcement Matter Serves as Warning to Exempt CTAs
Earlier this year, the CFTC ordered Summit Energy Services, Inc. ("Summit Energy") to pay a $140,000 civil penalty to resolve allegations that it violated Section 4m(1) of the Commodity Exchange…
NIBA Wedbush Futures FCM Risk Management Questionnaire
NIBA will be featuring a recurring article in its monthly newsletter to membership with a focus on FCM Risk Management. The article will feature a different Member FCM each month…
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…
NIBA – Ask the NFA Questions
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…
The Red Flag Rules
Dodd-Frank transferred responsibility for identity theft from the FTC to the CFTC and SEC for those financial institutions under their jurisdiction. The rules adopted in April 2013 require “financial institutions”…
CME CORE: Clearing Online Risk Engine
Risk management is a trade craft that never sleeps: Market conditions change, new products are invented, mathematics advance, operational flows become more complex, regulation evolves. We’ve seen all of these…
Housekeeping, Reminders, and Updates
Financial Industry Regulatory Authority Redesigned FINRA Website In March, the Financial Industry Regulatory Authority (“FINRA”) announced the launch of its newly redesigned website. Two key factors were the driving force…
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