Chairman’s Letter – November 2017

“Money, Money, Money” —–                    ABBA, recorded and released 1976 Okay –I admit it. I’ve been eagerly waiting for the right time to mention ABBA for any reason in the Chairman’s Letter. Their 1976 release of “Money, Money, Money” was the second big hit for this Swedish pop group, following on the....

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Housekeeping, Reminders and Updates – October 2017

Written by: Mark E. Ruddy, Esq. Maria Fielding   Increase in National Futures Association (“NFA”) Assessment Fee The NFA’s Executive Committee is recommending an increase in the NFA’s assessment fee beginning January 1, 2018. The Executive Committee voted in favor of recommending that the assessment fee increases from $0.01 per side to $0.02 per side for futures and options contracts,....

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NIBA Comment Letter – CFTC Project KISS

NIBA – The Association for Derivatives Professionals 55 W. Monroe, Ste. 3600 Chicago, IL 60603 (312) 977-0598 www.theniba.com BY ELECTRONIC SUBMISSION Christopher Kirkpatrick, Secretary Commodity Futures Trading Commission 1155 21st Street, NW Washington, DC 20581 September 28, 2017 Re: CFTC Request for Public Input to Make Regulations(s) Simpler, Less Burdensome and Less Costly (Project KISS) Mr. Kirkpatrick: The NIBA appreciates....

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Compliance Supervisors International Welcomes John Brand

Compliance Supervisors International Inc. (“CSI”), is excited to welcome John Brand to lead our Chicago Compliance Division. John is an excellent addition to CSI, and we look forward to leveraging his extensive and deep industry knowledge, with the current and ever-changing compliance and regulatory policies to better help our clients.  Mr. Brand’s compliance and examination experience spans across two decades,....

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CME Group Russell 2000

Register Today: The Russell 2000 Surge and Futures Trading Opportunities Webinar Small Cap, Big Opportunity With the likes of Alphabet, Apple and Amazon trading at lofty valuations, small-cap stocks, indices and futures are bringing back some edge to the market. Register for the CME Group upcoming webinar to learn how the Russell 2000® and E-mini Russell 2000 Index futures present....

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Chairman’s Letter – October 2017

Podcast: an episodic series of digial audio or video files which a user can download and listen to – Wikipedia, 2017 NIBA’s mission is to educate derivatives professionals so they can better serve their customers, stay in compliance and grow their businesses. One of the ways the mission is accomplished is through posting the video files of our member conferences....

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Ask NFA: October 2017

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 those regulations and compliance requirements without having to call NFA directly. Just email us at [email protected] and we will get the answers for you. Please keep in mind the purpose of this....

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Claim your Free NIBA Membership

In case you missed the announcement – the NIBA Board of Directors has announced a FREE one year membership to the association.  This comes to you as a thank you for your support and loyalty over the association’s 25 year history.  If you have not already claimed your FREE membership please follow the instructions found in the video link below. ....

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NIBA September Conference Videos

NIBAs September conference in Chicago was a great success.  The sessions were well attended, speakers were relevant and engaging and we had a few tricks up our sleeve throughout the day to keep things interesting as well.  The association debuted two “firsts” for the annual conference – Quant Corner and Cryptocurrency Trading.  Both were very well received.  If you have....

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Housekeeping, Reminders & Updates – September 2017

  National Futures Association (“NFA”) Updates Financial Statement Filings The NFA is adding additional questions to independent introducing brokers’ (“IBs’”) financial statement filings beginning with the September 30, 2017 filings. The additional questions do not concern new information being collected by the NFA, but rather information that had previously been collected by way of a follow up from the NFA....

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