Reminder NFA Members – New Self Exam Questionnaire Available
The National Futures Association (“NFA”) requires all its member firms, on an annual basis, to review their operations using NFA’s […]
Webinar -The Broker-Dealer Exemption Report. Understanding the requirements of…
August 27 – 4:30PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop […]
Payroll Protection Program – Highlights
General Loan Forgiveness FAQs Question: Which loan forgiveness application should sole proprietors, independent contractors, or self-employed individuals with no employees […]
Introducing Broker AML: New Guidance
Per NFA Compliance Rule 2-9(c), all FCMs and IBs are required to implement and maintain an Anti-Money Laundering Program to […]
NFA Extends Fingerprinting Requirement
Due to the ongoing CoVid-19 pandemic, the NFA had granted relief of the fingerprinting requirement for registrants, principals, and associated […]
NFA Members – Review Your Current Operations
The NFA requires member FCMs, RFEDs, IBs, CPOs, and CTAs must review their operations on an annual basis using the […]
Reminder: Compliance Date Approaches for NFA’s Swaps Proficiency Requirements
[vc_row][vc_column][vc_column_text]NFA Members with Associated persons may be required to satisfy NFA’s Swaps proficiency Requirements if APs engage in Swaps activities […]
NFA Compliance – Training Reminders
As the NFA performs frequent audits of member firms, there are areas that can be ripe for deficiency findings. As […]
Becoming a Commodity Pool Operator – Registration Requirements
We are often asked for budgeting and requirements for registering with the National Futures Association (NFA) as a Commodity Pool […]