CFTC/NFA Response to the Swiss Franc Move
Roughly a month ago the Swiss National Bank rocked the world with a surprise announcement. During the middle of the night on January 15, 2015, Swiss banking authorities announced they…
Exempt CPO Annual Affirmations and NFA Bylaw 1101 Implications for Introducing Brokers
Fund managers relying upon exemptions from registration as commodity pool operators (CPOs) pursuant to CFTC Rule 4.13(a)(1), 4.13(a)(2), 4.13(a)(3) or 4.13(a)(5) (or an exclusion in the case of CFTC Rule…
NFA Board Election Update
Congratulations to Mike Burke, John Roe and James Koutoulas who were elected to the NFA Board of Directors in the recent election. John, Roe Capital and James, Typhon Capital Management…
Folow-UP: NIBA in SoCal
NIBA’s 3rd Annual Event in southern California was held in Newport Beach, CA February 19, 2015 at the Newport Beach Marriott Hotel. Over 50 industry professionals attended -- about 45%…
Chairman’s Letter
Members of the NIBA - Just prior to entering the trading pit in the 1983 film “Trading Places,” Louis Winthorpe, III (as played by actor Dan Aykroyd) declares, “Well, this…
Housekeeping, Reminders and Updates–Jan 2015
NATIONAL FUTURES ASSOCIATION On January 15, 2015 the National Futures Association (“NFA”) released Notice to Members I-15-02 (“Notice”) regarding commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) exempt from…
Chairman’s Letter
Members of the NIBA -- By the time this NIBA Journal is posted, the election for the IIB and CTA/CPO positions on the NFA Board of Directors will be completed.…
NIBA Membership Chairman’s Letter
Dear NIBA Members and Supporters, 2015 NIBA Membership: Thank you for your continued support of the only independent organization supporting IBs, CTAs, and APs. Your support, participation, and your investment…
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…
NIBA 2015 SoCal Conference Preview
The NIBA is pleased to announce it's Winter Conference is scheduled for February 19, 2015 in Newport Beach, CA. Below you will find a preview from the conference speakers as…
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