NIBA Journal

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

Active filters:

Category: Uncategorized×

Clear all

Stay Current with NFA Initiatives in Less Than Five Minutes

Uncategorized

August 29, 2019

1 min read

Stay Current with NFA Initiatives in Less Than Five Minutes

Today (8/29), NFA is releasing a new version of its quarterly Board Update Video covering important items from NFA's August Board Meeting. In less than five minutes, you will hear quick summaries of timely topics such as NFA's goals, cyber security, rulemaking initiatives and more from a variety of NFA representatives. You will also be directed to helpful resources available on our website for more details. This new streamlined video is just another way for Members to stay abreast of their regulatory obligations. Watch NFA's August Board Update Video. (Run Time 3:43) To subscribe to NFA's Board Update Video or other NFA communications, visit NFA's Subscription webpage.

NIBA/DePaul Summer Symposium Videos

NIBA is pleased to share the video taping of this year's NIBA/DePaul Summer Symposium. Thank you again for those who were able to attend in person, we appreciate your support. If we missed you please enjoy the following videos at your leisure. Feel free to drop us a line with any comments or feedback. Watch Symposium Here

Tools to Help Grow New Business

CME Group is committed to providing you with tools to help you grow new business. We’ve customized educational offerings in the mediums most conducive to you, including webinars, podcasts, whitepapers, and other digital content that you can promote via your intranet, external website, or in your customer communications. Check out a recent Trader’s Edge video as an example of what we can offer. See everything we have to offer here.

NIBA Chicago Conference Sept 12th

Registration Open for September 12, Illinois Tech Registration is open for NIBA’s Annual Fall Meeting, September 12 at Illinois Tech. Our 28th annual meeting includes a full-day of information, education and networking specifically focused on the issues that you handle in your office daily. Business Sessions Include: 1. Real-Time Compliance - you choose the subjects for our team of experts 2. Industry Disruptors Revealed - threats to operations you need to be aware of 3. Politics in Trading - learn how politics influence the markets 4. Grains Gone Wild - no explanation needed! 5. The Future of Futures - armchair interview with Brian Durkin, CME Group 6. You’ve Been Hacked - now what? Join us at our new location, Illinois Tech, 565 West Adams from 8am-5pm to: Meet the Quants Review New Products with our exchange members Visit the Exhibit Hall Our networking reception, sponsored by Greenberg Traurig Law, Michael...

Chairman's Letter - Aug 2019

August Month-Long Food Celebrations: Goat Cheese & Kiwi Fruit NIBA welcomes Main Street Data as an Annual Supporter. Main Street Data was formed in 2017 to bring precise data to the agriculture world. While data has improved in many other industries, agriculture remains behind the curve – and Main Street Data is here to change that. You can meet representatives of Main Street Data in our Exhibit Hall, at NIBA’s 28th Annual Fall Members Meeting. To become an Annual Supporter, contact me or Mike Burke, mikeb@highgroundtrading.com. The effective date of amendments to compliance rules and NFA interpretive notices which expressly incorporate supervisory requirements for IBs, CTAs, CPOs and FCMs who engage in swaps activities is September 30, 2019. Visit the NFA website for more information or check with your compliance officer. In July, FinCEN updated the list of FATF-identified jurisdictions with AML/CFT deficiencies. You should review the listings and make...

Disruptive Trading Practices

Disruptive trading practices are prohibited and specifically addressed within CME rules and regulations. CME Group's Market Regulation team has created the following educational course on Distruptive Practices Prohibited. If you have a few minutes it's worth a look. Market Regulation: Disruptive Practices Prohibited - Spoofing

Crypto/Blockchain Resources

Resources - Cryptocurrencies/Blockchain: Want to learn more about cryptocurrencies and blockchain? Here are a few websites that can help. [table id=12 /] [table id=13 /]

NIBA Educational Series - Cybersecurity Briefing

The NIBA is pleased to announce the kick off of its educational series. This idea is to cultivate ideas, discussion and networking in an intimate setting throughout the year. This event is hosted and sponsored by Bovill. There’s a gap between Compliance and IT responsibility for security in most organizations. For example, what should an Information System Security Policy cover and how best should it be implemented? We’re delighted to invite you to our briefing and networking event on Wednesday, March 6, 2019, where we will be giving you some tips to help close this gap and discuss challenges with other professionals. Alongside our friends from the NFA and security experts VSEC, we’ll be looking at: Cybersecurity responsibilities of IBs, CTAs, CPOs and FCMs Recent changes in cybersecurity rules and guidelines – for example, new guidelines for event reporting Recent regulatory security enforcements, and what’s expected in 2019. The session...

NIBA Annual Membership Meeting

NIBA held its Annual Membership Meeting September 13 at the CME Group Building. The full-day of education focused on “Developing Business in a Regulated Environment,” and featured sessions on compliance, marketing and ideas for growth. This year’s keynote speaker, Rick Santelli of CNBC Financial News, spoke to a standing-room only crowd. NIBA thanks the CME Group, official sponsor of the event for providing our meeting space, lunch and a terrific luncheon speech on the possible effects of tariffs and trade wars on the markets and our customers, presented by Alison Coughlin, Manager of Commodity Research and Product Development, CME Group. Thanks also to NIBA’s Program Sponsors and Annual Sponsors - Barchart, Clear Software, Ruddy Gregory, Michael Coglianese CPA, Straits Financial, Midland IRA, John Lothian News and Dorman Trading. Congratulations to Gene Sikora, of Intl FC Stone on winning the raffle prize, an electric scooter donated by Straits Financial. The meeting...

New Tools to Grow Business

This year's NIBA conference theme is "Business Development in a Regulated Environment." There are many ways to develop new business. Some of those which we are highlighting in this session is through the use of new tools and new revenue sources. Relationship Based Trading This segment will discuss the various ways a firm can utilize relationship based trading. That means trading using blocks, crosses or pre-execution. Each offer their own unique benefits to the end customer and broker. Panelists are actual market participants giving perspective on both sides of the transaction. Chris Abraham - Geneva Trading Brian Fletcher - Rice Dairy Marketing Tools Available to the IB/CTA There are many marketing tools that are available. CME Group has a wealth of tools available for your business to utilize. This discussion is focused on raising awareness of these tools and how your firm, your brokers and your customers can all potentially...

By NIBARead article

Page 3