NIBA Trustee Letter
September 10, 2012 Ira Bodenstein, Trustee for PFG Best By Email Only - [email protected] Mr. Bodenstein: I write on behalf of the National Introducing Brokers Association (NIBA). Founded in 1991,…
CFTC faults Peregrine trustee $123 million distribution plan
By Linda Sandler | Bloomberg The Peregrine Financial Group Inc.trustee didn’t complete necessary tests before announcing a plan to distribute $123 million to customers of the defunct futures brokerage, the U.S. Commodity Futures…
National Futures Association announces registration information webinar for swap FCMs, IBs, CPOs and CTAs
September 7, 2012 National Futures Association announces registration information webinar for swap FCMs, IBs, CPOs and CTAs The Commodity Futures Trading Commission (CFTC) recently published its final rule definitions for…
NFA Financial Requirements Section 16 – Required Notification of Certain Disbursements from Segregated/Secured Amount Funds and New Requirements Regarding Statement Submitters
Notice to Members I-12-18 August 24, 2012 NFA Financial Requirements Section 16 - Required Notification of Certain Disbursements from Segregated/Secured Amount Funds and New Requirements Regarding Statement Submitters Notification of…
NFA Rule Submission Letters
NFA submitted the following rule submission letters to the CFTC: Recordkeeping – Proposed Amendments to NFA Compliance Rule 2-10 » View Letter (PDF) Protection of Customer Funds – Proposed Amendments…
CME Group | Conference Session Overview
For CME Group, nothing is more important than the confidence customers have in our marketplace and the protection of our customers when using our markets. Earlier this year, CME Group…
Rule 1.71 – Pay Attention, It’s Now in Effect
At the Kansas City Conference we discussed CFTC Rule 1.71, which among other things, applies to conflicts of interests within a brokerage operation. That is to say that the “research”…
Chairman’s Message | August 2012
Dear NIBA Member - Finding the right FCM to clear customer business is the #1 priority of most IBs right now. We know that over 50% of the IBs transferred…
FCM Risk Assessment – Trust and Verify
The recent insolvencies of MF Global and PFGBest, along with the near miss of Knight Capital, have sent customers scrambling to confirm the safety of their property and the financial…
New NFA Rules: Customer Protection and Others
Over the past several months, NFA has worked with the industry to develop a number of rules to strengthen the protection of customer segregated funds. We will describe these rules…
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