Category Archives: Industry Reform

Response to NFA Request for Comment: CTA/CPO Capital Requirements

    April 15, 2014 National Futures Association Compliance Division 300 South Riverside Drive, #1800 Chicago, IL 60606 Submitted via Email & Website re: Request for Comments – CTA/ CPO Capital Requirement and Customer Protection Measures  Dear Sir or Madame: We appreciate the opportunity to provide the NFA staff with the comments and recommendations set forth below

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    Town Hall Meeting: Rethinking the NFA for CTAs & CPOs

      The Town Hall for CTAs and CPOs will be broadcast live on this page beginning at 11:45 AM Central Standard Time on Monday February 4, 2013.  Live video will be embedded below.  Logon to this page (or refresh it) after 11:45 AM to see the video.  Those who wish to ask questions can join us

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      CCC Plan for Private Commodity Customer Account Insurance

        CCC’s Presentation on a Captive Insurance Company offering Commodity Customer AccountInsurance. CLICK HERE TO VIEW FULL SCREEN  The CCC is working on a plan to provide insurance for commodity customer accounts through the private market.  The plan involves setting up a captive insurance company, owned by various industry constituents, which would offer insurance policies to

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        Why Hasn’t NFA Barred Jon Corzine?

          More than a year after MF Global’s demise, why hasn’t the National Futures Association taken action against Jon Corzine?  For his malpractice Mr. Corzine should be permanently barred from NFA membership, associate membership and from acting as a principal of an NFA member.  He should receive the maximum NFA fine as well. Customers of MF

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          My Letter to Rep. Neugebauer Read into Congressional Record

            The following letter I wrote to Representative Randy Neugebauer (R-TX), Chairman of the Oversight and Investigations Subcommittee of the House Financial Services Committee, was read into the Congressional record at the top of their March 28th hearing on MF Global. [gview file=””]

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