NIBA - Celebrating 35 Years

NIBA Journal

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

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Member Announcements
8 min read

NFA BoD Executive Rep Reminder

Executive Representative Reminder and Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2019 Regular Annual Meeting Executive Representative Reminder In August 2016, NFA's Bylaws were amended to implement an electronic voting process for Directors' elections, contested Nominating Committee member elections and Articles' amendments approval votes. If elections are necessary, NFA has engaged Corporate Election Services (CES), a third-party service provider, to administer the electronic voting process. To facilitate the electronic voting process, each Member shall designate an Executive Representative who will have the Member's sole authority to sign nominating petitions, receive notices of Member meetings and proxy materials, complete proxy cards and provide voting instructions and cast votes on behalf of the Member. Members may designate an Executive Representative through NFA's website. Only those firm personnel who are the Security Manager or are authorized to view, update and file information in ORS may complete the Executive...

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Member Announcements
1 min read

Volunteers Needed - April 10th NY Athletic Club

NIBA’s spring membership meeting will be held April 10 at the New York Athletic Club, New York City. The annual event includes a full afternoon of business sessions, as well as numerous opportunities for networking and catching up with your colleagues. Planning for the business sessions has begun. Mike Burke, mikeb@highgroundtrading.com, Steve Petillo, spetillo@straitsfinancial.com and Melinda Schramm, melinda@futuresrep.com will co-chair the event. Please contact any chairman to suggest topics or speakers for the meeting, or to volunteer for the planning committee. NYC Event Page

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Member Announcements
2 min read

Chairman's Letter - October 2018

In Latin, octo means eight. October, the eighth month of the year is recognized traditionally throughout the world as the gateway to winter. In the U.S., we celebrate National Pizza Month and, of course, Halloween. In early October, the Wall Street Journal reported that CFTC enforcement actions and fines are up in 2018, while SEC-related numbers decreased over the same period. After falling slightly in 2017, CFTC numbers have risen this year in part to issues surrounding cryptocurrency offerings and spoofing. Complaints also include various recordkeeping and position limit violations. NFA has called for nominations to its board of directors and nominating committees. Current terms of several directors expire February 21, 2019. Submissions for candidates for all positions must reach the NFA no later than October 15th. NIBA will be publishing the results of those nominations in subsequent newsletters. Elections will be held shortly after the nominations are announced, so...

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Member Announcements
2 min read

Chairman's Letter - September

In the time of Charlemagne, September was “the harvest month.” In most of the modern world, September marks the start of the academic year. And here, in the U.S., we celebrate “Better Breakfast Month” and National Bourbon and California Wine month. September brings NIBA’s Annual Membership Meeting. The meeting took place this year on Sept. 13 at the CME Group Building in Chicago. When it was time for the keynote speech, Rick Santelli, CNBC commentator rocked the house. Rick was more than informational -- he is entertaining and very gracious. Thanks also to the CME Group for providing the facility and a terrific luncheon speak, Alison Coughlin of the exchange. A full wrap-up appears in this issue of the NIBA newsletter. We also saw two Commissioners confirmed and sworn into office by the CFTC early this month which completes and fills the five-person Commission. Dawn Stump comes from Stump Strategic,...

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Member Announcements
1 min read

Rick Santelli - Keynote Speaker | NIBA Sept 13th

NIBA is pleased to announce CNBCs Rick Santelli to give this year's Keynote Address. Come hear Rick live and in person sharing his thoughts on the industry. "I believe there is only one regulation in life that works: failure." - Rick Santelli Space is limited....reserve your spot while seats are still available. Rick Santelli joined CNBC as on-air editor in June 1999, reporting live from the floor of the Chicago Mercantile Exchange. His focus is primarily on interest rates, foreign exchange and the Federal Reserve. Santelli is a regular contributor to CNBC's "Squawk on the Street " (M-F, 9AM-11AM ET). REGISTER HERE

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Member Announcements
2 min read

Grow Your Business with Options - Sept 13th

Diversification is not just something we want our customers to utilize. Diversified revenue streams have become more and more important in the brokerage world. Options products offer a way to diversify your revenue stream and provide a new product to your customer base. Our panelists are experts in this area and will not only be discussing how and why you should be using options but also how to implement successfully within your business. Space is limited....reserve your spot while seats are still available. The experience and expertise of this panel is mind boggling and if you have thought about utilizing options in your firm or want to learn how you can improve your current options offering this session is a must. Nick Howard, Managing Principal, Bantix Technologies While trading, Nick continued developing software as an independent contractor. During his time on the floor, he created options pricing programs for many...

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Member Announcements
2 min read

Title Connecting: Personal Branding & Networking Strategies NIBA Fall Conference - Sept 13th

Jessica Titlebaum Darmoni, Business Development and Marketing Expert & Founder of The Title Connections to speak @ NIBA Fall Conference. Jessica will share her experience and expertise in an area that is extremely important to all participants of the brokerage industry. Space is limited....reserve your spot while seats are still available. Jessica Titlebaum Darmoni has over 15 years of experience building relationships, networking and connecting the dots. Jessica was able to build an extensive network as co-Founder and President of Women in Listed Derivatives (WILD). As WILD’s President, Jessica led WILD’s parent Board in Chicago from 2009-2014 and established branches in London, Frankfurt, Toronto, Mexico City and New York. Jessica also spent time as the Marketing Director for the Americas at Itiviti, previously known as Orc Group, as well as a Communications Specialist at the National Futures Association and the Senior Vice President of Sales/Editor at Large at John J....

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Member Announcements
1 min read

Thank You - DePaul University

Thank you to DePaul University for another hugely successful joint symposium. This marks the 5th year NIBA has partnered with DePaul University to present an afternoon of education and networking for our members -- and another standing-room-only event. This year’s topics included blockchain, NFA-audit triggers, new AML requirements, implementation of GDPR and changes to cyber-security regulations. The highlight of the meeting was an intimate and very informative armchair chat featuring Leo Melamed, pioneer of financial futures and Chairman Emeritus of CME Group. Big thanks also to the Joint NIBA/DePaul Symposium Committee. The 2018 event committee included: - Tom Sandy, Chairman (NIBA Event Chair; Rice Dairy, LLC) - Dr. Carl Luft, Academic Dir. Arditti Center, Assoc. Professor, DePaul University - Katie Tervin, Zaner Group - John Roe, BTR Trading - Mark Shore, Shore Capital Management/Coquest - Mike Loftus, Metolius Capital - Tom Edwalds, Exec. Dir. Arditti Center, DePaul - Steve Petillo,...

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