Wake Up Call– Rule 1.71 Effective Date August 3
CFTC Rule 1.71, applies to conflicts of interests within a brokerage operation, among other things. That is to say that the “research” department and the “trading” desks must independently coexist.…
HighGround Trading Group, Inc. | July 2012 Focus on the Membership
How did you get started? How did the firm get started? Mike Burke started in the business as the Controller of an FCM and worked his way up to Senior…
Judges in MF Global and PFG Bankruptcies to Decide Whether Proprietary FCM Assets are Allocated to Make Up Customer Seg Shortfalls
The recent failures of MF Global and PFG represent two devastating FCM bankruptcies with substantial shortfalls in customer segregated assets. Each company also has significant firm assets – the MF…
NIBA Chicago Conference Registration Now Open
The NIBA Fall Membership Meeting is scheduled for the afternoon of September 12, 2012 at the UBS Center in Chicago. The Agenda includes: Business Sessions: Weather - the effects of…
Effective Date of NFA Financial Requirements Section 16 and the Related Interpretive Notice – FCM Financial Practices and Excess Segregated Funds/Secured Amount Disbursements
Notice to Members I-12-14 July 18, 2012 Effective Date of NFA Financial Requirements Section 16 and the Related Interpretive Notice - FCM Financial Practices and Excess Segregated Funds/Secured Amount Disbursements…
Frequently Asked Questions – Trading Program Performance Calculations and Presentation by CTAs with Client Assets held at Peregrine Financial Group, Inc.
July 17, 2012 Frequently Asked Questions - Trading Program Performance Calculations and Presentation by CTAs with Client Assets held at Peregrine Financial Group, Inc. As a result of the enforcement…
Important Message for Customers of Peregrine Financial Group and Peregrine Asset Management – Updated on July 12, 2012
FROM THE NATIONAL FUTURES ASSOCIATION. View Original Posting here. ---------------------------------------------------------------------------------------------------------------------------- On July 9, 2012, National Futures Association took an emergency enforcement action against Peregrine Financial Group, Inc. (PFG), an NFA…
NIBA Statement on PFGBest Failure
On Thursday July 12th 2012, Melinda Schramm, Founder and Chairman of the NIBA was iin Washington, DC to discuss with CFTC official issues surrounding the collapse of PFG including orderly…
CFTC reportedly plans client-fund protection in wake of allegation
From the FIA SmartBrief today: The U.S. Commodity Futures Trading Commission is set to adopt safeguards for client funds in the wake of a shortfall allegation against Peregrine Financial Group and…
PFGBest Brokers: Make Sure You Have Ownership of Your Domain Name
As we go through the failure of PFGBest less than a year after MF Global, I wanted to alert brokers and GIBs in particular, to make sure you have ownership…
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