NIBA - Celebrating 35 Years

NIBA Journal

Insights, analysis, and updates from the National Introducing Brokers Association

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Member Announcements
1 min read

6th Annual FIA and OIC New York Equity Options Conference

New York Stock Exchange / New York Marriott Marquis* New York, NY September 13-14, 2011 *The Tuesday, September 13 opening session and reception will be held at the New York Stock Exchange; the Wednesday, September 14 sessions will be held at the NY Marriott Marquis. Last year, more than 340 business, trading, and legal options industry professionals from 120+ firms gathered to discuss market structure issues, hear from exchange CEOs, and network with peers in this program is planned by the industry for the industry. Contact Toni Vitale Chan at tvitale-chan@futuresindustry.org or 312.636.2919 for information on sponsorships and exhibits. FIA and OIC New York Equity Options Conference

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Member Announcements
2 min read

Chairman's Message | May 2011

On Monday, April 18, I met with Chairman Gensler and members of his staff in the Washington, DC offices of the CFTC. I brought your questions and suggestions, along with other topics to the meeting. Among the issues we discussed were: The impact of the inclusion of IBs in various CFTC rules currently being written in response to the Dodd-Frank Act. The effect of the proposal of CFTC Rule 1.71 - separation of the research department from other functions within the office - upon the IB community. ETF and swap trading among IBs. Position limit regulation. Results of the 2-year investigation of possible manipulation in the Comex silver market. Chairman Gensler commented that our issues were well presented, but he did not respond definitively regarding any of the topics or questions we raised. Along with two senior members of the staff, he listened to our concerns and said that they...

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Member Announcements
1 min read

NIBA Chairman Melinda Schramm to Participate in CFTC Proposed Account Ownership and Control Report

Melinda Schramm, Chairman of the Board and found of the NIBA has been invited to participate in a CFTC public meeting on September 16 in Washington, DC.  The purpose of this meeting isto discuss the proposed Account Ownership and Control Report. This proposed regulation identifies IBs and CTAs as business entities under the definitions in the proposals which may have increased responsibilities for identifying the real owners/controls of trading accounts. Details of this proposal can be found in the Federal Register at pg. 41775. If you would like to comment, please email Melinda Schramm at melinda@futuresrep.com. A summary of the meeting will appear in the NIBA Newsletter and at the NIBA Meeting, November 2 in Chicago.

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Member Announcements
3 min read

Introducing Fund Dynamics: A Fully Customized Accounting and Administration Company

CTA and IB's – Where is your Business going to be One, Two, Five Years from Now? During my last 20 years in the commodities business, I have seen many changes. Some of these brought success and others, disaster. From the early days of facilitating the original Bermuda hedge funds, South American Crushers, domestic Soy product users, to today, the most important thing has remained, knowing who you are doing business with, and understanding whose best interest they put first. The Price Futures Group is unique in that they understand that there are three vital components to a simple and successful business: First: it is ALWAYS the fault of the highest levels of management if a business is failing. When it comes down to it, the people at the top make all of the decisions, and while many directors, managers, owners, or operators blame their employee’s for their failures, it...

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Member Announcements
1 min read

Financial Services Law Conference: Current Issues Around Town in Futures & Derivatives

Financial Services Law Conference: Current Issues Around Town in Futures & Derivatives A one day program covering a variety of current compliance issues Dear Friends and Colleagues, In this era of regulatory reforms and aggressive enforcement, it is imperative that we all stay current on the latest trends in futures compliance. The consequences of being out of date can be catastrophic. On October 22, 2010, Chicago Kent College of Law will present Current Issues Around Town in Futures & Derivatives, a one day program covering a variety of current compliance issues. This program is the right solution, at the right time, for the right price. I encourage you to mark your calendar and to attend this important conference. In addition to the valuable content and 6 hours of CLE, there will be a Cocktail and Networking Reception immediately following the program. Click here for Financial Services Law Conference: Current Issues...

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Member Announcements
3 min read

Futures Magazine to host 7th I-Trade Show

For Immediate Release Futures Magazine to host 7th I-Trade Show CHICAGO, IL (June 17, 2010) – Futures Magazine, a Summit Business Media publication, will be hosting its seventh edition of the Futures I-Trade Show this June 22nd and 23rd. Spotlighting both time tested and innovative approaches to trading, the I-Trade Show is for all traders of futures, options, forex and stocks and offers attendees the benefits of a physical conference and tradeshow from the comfort of their desk. “The I-Trade Show offers cutting-edge opportunities to showcase the newest trading tools, demos, products, ideas, and success stories,” Group Editorial Director Ginger Szala remarks. “The trading industry is one that is always on the move, and many traders do not have the option to leave their desks. Rather than have traders come to us, we bring the markets to them, providing the opportunity to learn new strategies and insights without paying for...

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Member Announcements
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NIBA Members Submit Your Press Releases

As a new NIBA member benefit, we welcome press releases from all member IBs, CTAs, member FCMs, Exchanges and Service Providers. Member Announcements will be featured and archived in the NIBA Journal section of the website and it's own NIBA Member Announcements category. NIBA Member Announcements are also included in the NIBA Journal eNewsletter sent to over 4000 recipients. Submitting Your Announcement Submit your press release by sending a Word document to theniba@gate39media.com. Press releases will generally be posted within 5 days of receipt. A link to your website and logo is also allowed. Logo must be sent in JPG, GIF or PNG format. There is a limit of 2 press releases per month. The NIBA reserves the right to refuse or remove any announcement at its discretion. Announcements should be newsworthy and not of a pure promotional nature. This benefit is available to all NIBA Members. Many news sites...

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