Feb 17, 2022 | News

NFA Compliance: Exam Relief Extended

Due to the ongoing COVID-19 pandemic, NFA has allowed Members to conduct all calendar year 2020 and 2021 annual inspections of branch offices and guaranteed introducing brokers remotely.  NFA has recently extended this relief through the end of 2022.

Members must conduct the required annual inspection of each branch office and GIB by December 31, 2022 and firms can continue to conduct these remotely.

If a risk assessment is deemed appropriate, these remote inspections may continue into 2023.

For more detail on the notices and requirement, please click here.