In 2010, Congress passed the Dodd-Frank Wall Street Re-form and Consumer Protec-tion Act, which states that the CFTC can fund customer education initiatives to help customers protect them-selves against fraud…
The House Financial Services Subcommittee on Oversight and Investigations released a summary of a report -- expected to be released in full today -- on the collapse of MF Global…
Notice to Members I-12-26 November 9, 2012 Please Route To: Compliance/Legal Sr. Management NFA Announces Nominations Made by the 2012 Nominating Committee In accordance with NFA Bylaw 406, the Office…
November 6, 2012 NFA announces workshop to assist SDs/MSPs in the 4s documents submission and review process National Futures Association will hold its first in a series of workshops to…
On January 24, 2013, the CME Group, NFA and NIBA will co-sponsor an afternoon event in Southern California. The CME Group will present an economic outlook for the coming year.…
As 2012 comes to a close it’s apparent the commodity interest markets have had a tough year. We’ve continued to watch the developments of MF Global, seen Peregrine Financial Group…
Dear Members - As Swaps Dealers began to register this month, I started thinking once again about the current state of Introducing Brokers (IBs). An IB’s role in the industry…
As of September 1st, the NFA increased the financial reporting requirements for FCMs who hold customer funds pursuant to Section 16. In an effort to increase disclosure for the brokerage…
Primary Markets Traded: Global Futures, Options and cleared OTC. Specializing in Metals and Energy servicing commercial and institutional/Prop client base. How did you get started? How did the firm get…
Many IBs have general creditor claims in the SIPA liquidation of MF Global Inc. based on commissions due to the IBs as shown on October 2011 commission runs. The deadline…
