NIBA Rings CBOE Closing Bell – 35th Anniversary Celebration
The National Introducing Brokers Association (NIBA) had the distinct honor of ringing the closing bell on the floor of the Chicago Board Options Exchange as part of our 35th anniversary…
CARBON HUNTERS: Breaking the Mold
Written by Richard L. Sandor, Ph.D and Paula DiPerna Breaking the mold is the essence of innovation, as NIBA readers know well, and innovation is a journey that can lead…
Special Alert: Introducing Brokers will be featured at FIA EXPO 2025
FIA Futures and Options Expo returns to the Sheraton Grand Chicago Riverwalk November 17 & 18th. SPECIAL ALERT: For the first time in several years, Introducing Brokers will be featured…
From the Classroom to the Trading Floor
There is no single, clearly defined education path for entering the derivatives industry as professionals come from a range of academic backgrounds. Still, higher education plays a crucial role in…
From Insight to Impact: Building a Risk-Smart Community
With a more complex global environment and continuous financial innovation, new and more sophisticated areas of risk have emerged. At the same time, rapid advances in artificial intelligence (AI) and…
2025 Compliance Outlook
Contributed by: Joe Schifano, Global Head of Regulatory Affairs at Eventus I. Introduction As the new Trump administration takes office in 2025, it brings a shift in leadership across federal…
CFTC Further Narrows Regulation 4.7 Exemption for CTAs and CPOs
Authored by: Jeff Henderson & Doug Arend, Greenberg Traurig Not all IBs operate exclusively as IBs. Some are also registered as CTAs and CPOs because of the nature of their…
JFX Cybersecurity Briefing: Guidelines for AI Usage
Contributed by: John Falck, JFX, LLC AI tools offer many efficiency benefits, but also introduce potential risks such as leakage of confidential data and providing false (“hallucinated”) or inappropriate information.…
Is a New Approach to Off Channel Communications Compliance on the Horizon?
Article Contributed by: John Ruark, Clark Hill The SEC and the CFTC have brought numerous “off channel” communications enforcement actions throughout 2024 for failure to preserve various forms of electronic…
Recent CFTC Order and Dissenting Statement
Contributed by: Braden Perry, KennyHertz Perry, LLC The recent CFTC Order (Release Number 8972-24) and the Dissenting Statement by Commissioner Mersinger raise significant questions about how the Commission interprets the…
- 1
- 2
- 3
- 4
- …
- 110
- Go to the next page