Notice to Members I-12-21 September 14, 2012 Chief Compliance Officer Requirements Become Effective for Certain FCMs on October 1, 2012 Effective October 1, 2012, FCMs that are currently regulated by…
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,…
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…
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…
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 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…
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…
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”…
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…
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…
