Close Menu Navigation
Open Categories Menu Easy Step by Step Guide for NFA Member Firms NFA Member Firms are all required to complete a yearly self-examination checklist to ensure that the Member Firm is complying with all the NFA Rules (as well as the CFTC Regulations and other applicable laws). The NFA has provided some resources [...]
Currently Browsing
Posts Tagged ‘ self exam checklist ’
11 January
Posted in
Business Issues, cftc, Commodities and Futures, compliance, CPO, CTA, Forex, Legal Resources
NFA Annual Questionnaire
Reminder to NFA Member Firms As part of the annual processes and procedures NFA Members will need to make sure that they complete the NFA Annual Questionnaire. As discussed below in the NFA’s most recent notice to members, it is important that NFA Members complete the questionnaire because some of [...]
