Housekeeping, reminders and updates
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…
November Chairman’s Letter
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…
5 Things Your Mother Never Told You About Your Reputation
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.…
2014 NIBA Board of Directors Nominations
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,…
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…
Master of One: The Specialist CTA
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…
Big Trends in Big Data:
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…
Market Data Fees – An Opinion
As the NIBA has been reporting since last November, the CME Group is discontinuing the current market data waiver effective January 2015. For many members of the NIBA and traders…
Recent Changes to the U.S. Tax Laws and Their Impact
Four years ago in 2010, Congress enacted new tax legislation that only recently came into effect. This article briefly discusses two additional U.S. tax regimes arising from such new tax…
Housekeeping, Reminders and Updates–Oct 2014
New Self-Executing Registration Relief for Delegating CPOs On October 15, 2014, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC”) issued CFTC…
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