Home > Compliance > Compliance

Compliance

Regulatory success hinges upon our Members voluntarily complying with NFA's rules and requirements. In this Compliance section, we focus on the examination process, some of the regulatory issues that are unique to particular types of membership categories and some of the programs we've established to help Members meet their regulatory obligations.

All NFA Members should review the information contained in the General Compliance Issues section as this covers the NFA examination process plus rules that apply to all NFA Members regardless of their registration category. 

Each Member should also review the information contained in the section related to their respective registration category (FCM, RFED, IB, SD, MSPCPO, and/or CTA). These sections discuss the regulatory requirements unique to each category. For example, the FCM, RFED and IB sections discuss these Members' financial reporting requirements while the CPO and CTA sections discuss disclosure document requirements. 

The information presented here is only intended to call your attention to key compliance issues. More in-depth discussions of many of these issues can be found in the Regulatory Guides contained in the Publication Library.

National Futures Association is a member of the Joint Audit Committee ("JAC").

Featured Information

NFA hosted a webinar on October 3, 2013 to help CTAs understand their new quarterly reporting requirements. Click here for more information.

Special Messages

NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your compliance questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to information@nfa.futures.org.

 

Online Registration System

 

Login to ORS

Forgot Password?      Enroll Now

Electronic Filings

NFA Members can file many of their required documents electronically.

Submit a Filing 

Search NFA Manual

You can search the NFA Manual by section, Rule number and/or keywords.

Search OR View the entire Manual.
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy