Regulatory success hinges upon our Members voluntarily complying with NFA's stringent sales practice rules and financial requirements. To that end, NFA has developed a variety of publications, programs and services to assist our Members in meeting their regulatory obligations.

In this section, we focus on the audit 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.

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 Compliance Publications section of this site.