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Tag Archives: Dan Roth

Reflections on the Life and Contributions of Robert K. Wilmouth Blog,Regulation,Regulation & Enforcement

Tom Sexton, NFA President & CEO: We have very few of these days at NFA but today is a very sad day.  This morning, we learned that NFA’s first President and Chief Executive Officer, Robert K. Wilmouth, passed away after an illness.  Bob served as NFA’s President and CEO from 1982-2003 when Dan Roth succeeded him.  Afterwards, Bob served as a Special Policy Advisor from 2003-2008. Anyone who was fortunate enough to work with Bob was struck by Bob’s many leadership qualities, including his professionalism and demanding work ethic.  Most importantly, Bob had a deep appreciation and loyalty to every…

Next Man Up: Tom Sexton Takes The Reins At National Futures Association With An Eye On Technology and Swaps Regulation Feature,ReformWiki,Regulation,Regulation & Enforcement,Video,video

For the markets and market regulators, the industry is all about technology. Tom Sexton, who was named president and CEO of the National Futures Association (NFA) last week , said the organization is focused on upgrading its systems to keep up with the changing market landscape. Sexton, who has been at the NFA since 1991 and will take over for current CEO Dan Roth in March, spoke with John Lothian News about his new role and what’s next for the organization. “Some of our technology is old and some of our systems are 10-plus years or older,” Sexton said. Among…

John Lothian Newsletter: CME Upgrade Soothes Critics Who Viewed Prior System as Unfair; Katten names new chairman; FICC revenues almost halved since 2011 John Lothian Newsletter,Newsletter

First Read NFA: The Next GenerationJim Kharouf – JLNWith the announced retirement of National Futures Association President and CEO Dan Roth, the organization may face the biggest decision in its history. Roth led the organization since 2003, and succeeded Robert Wilmouth, the first NFA president, who led the organization starting in 1982. Roth, who will stay on until his successor is chosen, has overseen the organization through its greatest expansion in the wake of the Dodd-Frank Act and some of the industry’s greatest scandals such as MF Global and Peregrine Financial Group Today, the organization’s profile stands tall in the…

Sweet 16: The Tops for 2016 Special Report

At last fall’s FIA Expo Chicago, John Lothian News partnered with Cinnober Financial Technology to  bring you industry conversations, where we conduct short interviews with industry participants on the important topics facing the financial markets. The 2015 theme is “Sweet 16: The Tops For 2016.” What technology, regulation, exchange or macroeconomic issue or trend will be most important to our industry next year? We will take the 16 best ideas and thoughts and package them in a John Lothian News video series. Here is what our participants had to say: Part 1 – Exchanges: Exchange leaders will be dealing with…

Sweet 16: The Tops For 2016 – Regulation Interview,Regulation,Special Report,Video

Regulation is always front and center and it will be once again next year. In our John Lothian News Sweet 16 Series, we spoke with Timothy Massad, Gary DeWaal, Dan Roth and Marisol Collazo about everything from the CFTC’s regulatory framework to the impact on innovation to harmonizing data. Here’s what they had to say. The Sweet 16 Series features the top 16 ideas about exchanges, regulation, economics and technology, drawn from 38 interviews conducted at the FIA Expo Conference in November 2015.

John Lothian Newsletter: China takes hard line on taxing foreigners on share gains; Major Firms Are Saying the Stage Is Set for Another Crisis in the Bond Market; Saudis’ Oil Price War Is Paying Off John Lothian Newsletter,Newsletter

First Read NFA 2015: Have you Noticed Anything Different? By Doug Ashburn – JLN We just wrapped up a two-part video interview with Dan Roth, CEO of the National Futures Association. He offered up an honest assessment, in my opinion, of the state of the agency in the wake of the MF Global and Peregrine Financial Group bankruptcies that rocked the industry in 2011 and 2012. In Part 1, Roth summarizes the internal changes made at the NFA, from its audit and hiring practices to the delivery of information to NFA members and market participants. Watch Part 1 Part 2…

New Rules: NFA’s Dan Roth on Confirmations, Residual Interest and the Corzine Rule Interview,Regulation,Video

After the twin scandals of MF Global and Peregrine Financial rocked the futures industry in 2011 and 2012, the National Futures Association underwent a review, not only of its internal procedures, but also of its rules. In Part Two of this two-part John Lothian News exclusive, NFA CEO Dan Roth summarizes the changes made to the agency’s rules to restore customer confidence. Much of the rulemakings addressed by the NFA center on segregated funds – funds owned by customers that are placed on deposit with a futures commission merchant to cover margin on customer positions. “The most important and effective…

Internal Affairs: NFA CEO Dan Roth Highlights Changes in the Wake of MF Global and Peregrine Bankruptcies Blog,Regulation,Video

**Editor’s Note: As news content and technology continue to change, so do we at John Lothian News. Please take a look at our interview with Dan Roth of the NFA, and click on the embedded video sidebar, at the 1:09 or 3:40 minute, marks to see more of our interview. After the twin scandals of MF Global and Peregrine Financial rocked the futures industry in 2011 and 2012, the National Futures Association, underwent a review, not only of its internal procedures, but also of its rules. In Part One of this two-part John Lothian News exclusive, NFA CEO Dan Roth…

Special Report: House Agriculture Committee MF Global Hearing Regulation,Special Report

MF Global

This special report from the John Lothian Newsletter (subscribe here) includes the latest from the MF Global collapse, and the House Agriculture Committee meeting in which former MF Global CEO Jon Corzine made his first public appearance since leaving the firm several days after it filed for bankruptcy on October 31. In the wake of the MF Global bankruptcy, John Lothian Newsletter has created a special section on JohnLothianNewsletter.com devoted to news, information and commentary. The section features archived news stories featured in the John Lothian Newsletter, analysis and breaking news. Check regularly for updates. See the MF Global news section here.