News & Analysis as of

Guaranteed Introducing Brokers

Katten Muchin Rosenman LLP

National Futures Association Proposes Overhaul of its Member Requirements for the Supervision of Branch Offices and Guaranteed...

The National Futures Association (NFA) has proposed updated guidance (the Proposed Guidance) for all of its member firms—including futures commission merchants (FCMs), retail foreign exchange dealers (RFEDs), introducing...more

Katten Muchin Rosenman LLP

CFTC Grants Relief to IB Entering Into Give-Up Arrangements

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from the proviso in CFTC Regulation 1.57(a)(1), which requires an introducing broker (IB) that has...more

Orrick - Finance 20/20

CFTC Issues No-Action Letter Regarding Introducing Brokers’ Compliance with Certain Financial Reporting

On December 23, CFTC issued a no-action letter that provides relief for certain Introducing Brokers (IBs) from certain financial reporting and capital computation requirements....more

Katten Muchin Rosenman LLP

NFA Notifies Members of FinCEN Advisory

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes Enforcement Network (FinCEN) has issued an advisory containing guidance with...more

Goodwin

CFTC Proposes Rule to Require All Registered Introducing Brokers, Commodity Pool Operators, and Commodity Trading Advisors to be...

Goodwin on

The CFTC has proposed a rule that would require all registered introducing brokers (“IBs”), commodity pool operators (“CPOs”), and commodity trading advisors (“CTAs”) to be members of a registered futures association (“RFA”)....more

Katten Muchin Rosenman LLP

CFTC Proposes Rules to Require that IBs, CPOs and CTAs Become Members of a Registered Futures Association

The Commodity Futures Trading Commission has proposed rules requiring that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors (CTAs) become members of at least one...more

Orrick - Finance 20/20

CFTC No-Action Relief for Commodity Trader Advisor Registration

On March 29, the CFTC issued a no-action letter providing relief, in certain circumstances, from registration as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and certain...more

Katten Muchin Rosenman LLP

NFA Issues Reminder of FCM Responsibility for Review of Guaranteed IB Promotional Materials

In response to an increase in the volume of promotional material being submitted by guaranteed introducing brokers (GIBs) to the National Futures Association (NFA) through its Pre-review Program (a free service offered by the...more

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