“Providing Transparency in Alternative Investments: The Importance of the Advisor-Client Relationship”, is a new white paper that discusses investment transparency, the hot topic in the world of managed futures and…
NIBA Members: You may have received a direct communication from the CME Group or read recent National Introducing Brokers Association (NIBA) LinkedIn posts regarding the exchange's intent to raise market data fees.…
CFTC Regulation 1.73 affects IBs and FCMs that execute orders for customers. Thus IBs who execute give-up orders and bunched orders must adopt risk management procedures. This new regulation has…
It was my privilege to moderate what I think was the most interesting presentation during the NIBA September Conference. I moderated the NFA Board of Directors IB & CTA Representatives…
Jon Corzine, former CEO of MF Global, lost a bid to dismiss litigation that seeks to hold him, other executives and banks responsible for the company's bankruptcy. "Defendants' contentions would…
Dear Members- Well, get ready for some good news and some not so good news. Good news #1. MF Global commodity customers are poised to get 100% back. On November…
Earlier this month, we kicked off the NIBA Annual Membership Campaign. All current members have been mailed a 2014 renewal reminder and can simply return the form with a renewal…
The closure of the government for several weeks did not stop the progress on new rules being discussed and implemented by the CFTC. As the IBs focus on building his/her…
The MF Global trustee has received court approval to advance more than $600 million of general estate assets to customers to allow 100% distributions to all customers. As a result,…
A new oral communications recordkeeping requirement was one of the key topics discussed at the 2013 NIBA Conference in Chicago on September 18, 2013. Covered registrants must comply by December…
