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NIBA Journal

A letter from NFA’s CEO and Chairman

  • Post published:February 1, 2013
  • Post category:Compliance / Legal

January 31, 2013 Dear Members, We wanted to send you a personal update on all that has happened in the months following the collapse of Peregrine Financial Group Inc. (PFG),…

Continue ReadingA letter from NFA’s CEO and Chairman

NIBA Winter Conference in Southern California Re-Cap

  • Post published:February 1, 2013
  • Post category:NIBA Briefings

NIBA Winter Conference in Southern California January 24, 2013 I recently had the pleasure of attending the “Winter” NIBA conference in Southern California. I genuinely struggled to type the word…

Continue ReadingNIBA Winter Conference in Southern California Re-Cap

The Daily Electronic Confirmation of Customer Segregated Funds

  • Post published:February 1, 2013
  • Post category:Compliance / Legal

For years, the futures industry had an impeccable reputation for safeguarding customer funds deposited at FCMs.  Now, within a very short time frame, we are dealing with a shortfall in…

Continue ReadingThe Daily Electronic Confirmation of Customer Segregated Funds

Peregrine CEO Wasendorf Gets Maximum

  • Post published:February 1, 2013
  • Post category:Operations

CEDAR RAPIDS, IOWA — Disgraced financier Russell Wasendorf will be at least 107 years old by the time he’s eligible for release from prison under the 50-year sentence handed down…

Continue ReadingPeregrine CEO Wasendorf Gets Maximum

Technology to Monitor FCM Segregation Requirements

  • Post published:January 30, 2013
  • Post category:Compliance / Legal

Notice to Members I-13-05 January 30, 2013 Effective Date of Amendments to NFA Financial Requirements Section 4 Regarding Use of Technology to Monitor FCM Segregation Requirements NFA recently amended NFA…

Continue ReadingTechnology to Monitor FCM Segregation Requirements

What Is Link Building and Why Is It Important?

  • Post published:January 30, 2013
  • Post category:Marketing

Whether you possess a wealth of knowledge in search engine optimization (SEO) or you’ve just heard about it in passing, you probably know the phrase “link building” and how crucial…

Continue ReadingWhat Is Link Building and Why Is It Important?

MF Global clients may get most of their money back

  • Post published:January 30, 2013
  • Post category:MF Global Updates

A bankruptcy court is set to consider a plan that would return 93% of MF Global customers' money.  That number is an improvement on the 80% that U.S. customers had…

Continue ReadingMF Global clients may get most of their money back

Some Filing Changes – NFA and IRS

  • Post published:January 30, 2013
  • Post category:Compliance / Legal

In addition to the myriad of tax changes we’re facing as we go into the new year, here’s a reminder that CFTC Reg 4.27 requires all CTA’s to file a…

Continue ReadingSome Filing Changes – NFA and IRS

Notice of Newly Elected Members to NFA’s Board of Directors and 2013 Nominating Committee

  • Post published:January 28, 2013
  • Post category:Compliance / Legal

This year there were contested elections in the IB and CPO/CTA categories of NFA's Board of Directors. Newly elected Board members in those categories and a complete list of the…

Continue ReadingNotice of Newly Elected Members to NFA’s Board of Directors and 2013 Nominating Committee

Reminder: CFTC Regulation 4.27: CTA Reporting Requirements

  • Post published:January 28, 2013
  • Post category:Compliance / Legal

In February 2012, the CFTC issued final rules adopting CFTC Regulation 4.27 which, among other things, requires that all CTAs file a Form PR annual report with NFA within 45…

Continue ReadingReminder: CFTC Regulation 4.27: CTA Reporting Requirements
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