As part of its ongoing commitment to customer protection, National Futures Association (NFA) recently made changes to its display of futures commission merchant (FCM) financial information on its Background Affiliation…
Member Fee Reminders will be sent to all member categories in December. For the 10th year, fees for IBs, CTAs and CPOs will remain at $150. You can renew your…
On Monday, November 3, 2014, the U.S. Commodity Futures Trading Commission (CFTC) held an open meeting to consider three proposed rule amendments addressing the residual interest deadline (CFTC Rule 1.22),…
INTRODUCING BROKERS An October 31, 2014, Notice to Members, Notice I-14-27, announced that all introducing brokers (“IBs”) financial reports are now required to be filed electronically, this includes the annual…
This month marks the initiation of CFTC Regulation 1.22 implementation, often referred to as the “residual interest” rule. On November 14, the deadline for FCMs to post their own capital…
How reputation management works and why you need to work yours! I admit I was that mother that told her children, “It doesn’t matter what other people think about you.…
NIBA BOD Nominations The National Introducing Brokers Association nominates the following association members for positions to the Board of Directors. Nominees For Additional 3 Year Term: Ralph Preston: Asoociated Person,…
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…
Over the past 10-20 years the client/broker relationship has fully evolved from a transactional one to a consultative one and appropriately to the client’s benefit. Where commissions and fees used…
Reprinted with permission from DePaul Business Exchange. © 2014 by DePaul University Driehaus College of Business. All rights reserved. Ninety percent of the data that exists in the world…
