NFA will host Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), introducing broker (IB) and swap dealers Members on April 9, April 11, and April 17.
FCMs use this form to report their month ending assessment fees. Note, this form can be filled and printed. To view the fillable fields, you must download or save (right-click and "Save") the form to your desktop, and open in an appropriate PDF viewer.
NFA held a Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED) introducing broker (IB) Members and swap dealers (SD) on March 21 and March 23.
NFA held a virtual Member Regulatory Workshop for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), forex dealer member (FDM), introducing broker (IB) and swap dealer (SD) Members on June 1-2, 2022.
On Tuesday, December 7, NFA and the NIBA held a webinar that discussed NFA supervision requirements as they pertain to hybrid and remote work environments.
To provide SDs with information on the integration of capital requirements into NFA's SD exam program, and to provide general information on SD exams, NFA held a webinar on Tuesday, November 16, 2021.
This guide discusses how to prepare for an NFA examination, highlights a number of general regulatory requirements and addresses accounting procedures for FCMs, IBs and commodity pools.
On an annual basis, NFA Member futures commission merchants (FCM), retail foreign exchange dealers (RFED), introducing brokers (IB), commodity pool operators (CPO) and commodity trading advisors (CTA) must review their operations using NFA's Self-Examination Questionnaire. The questionnaire is designed to aid Members in recognizing potential problem areas and to alert them to procedures that need to be revised or strengthened.
NFA held a virtual Member Regulatory Workshop for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), forex dealer member (FDM), introducing broker (IB) and swap dealer (SD) Members on May 11-13, 2021.
NFA held a webinar to educate Members on the redesigned Annual Questionnaire, which launched on October 2, 2020. The webinar covered the transition to the new system, key differences between the old and new Annual Questionnaire and other helpful information.
This brochure discusses the requirements CPOs must meet under Part 4, presents a sample break-even analysis and sample performance tables, and describes the disclosure document filing and review process.
This brochure discusses the requirements CTAs must meet under Part 4, presents a sample performance table, and describes the disclosure document filing and review process.
NFA's Swaps Proficiency Requirements are now available online. To help Members understand their obligations related to the Swaps Proficiency Requirements, NFA held two webinars with identical content on January 15 and 28, 2020.
NFA's Swaps Proficiency Requirements will launch and become accessible online on January 31, 2020. To prepare SPR Admins, NFA held three webinars with identical content in October, November and December 2019.
NFA held a webinar on Monday, November 25, 2019 to help firms and individuals understand the latest updates from a multi-year rebuild to ORS including the Firm Application, Annual Registration Update, firm and individual update processes and minor revisions to the Individual Application.
Before participating in the derivatives markets, investors should learn as much as they can about the firms and individuals with which they're considering doing business. This handout discusses briefly NFA's BASIC system—a powerful resource for conducting due diligence.
On Thursday, April 11, 2019, NFA held a webinar to help CPO Members understand their obligations with regard to NFA's Interpretive Notice entitled Compliance Rule 2-9: CPO Internal Controls System which became effective Monday, April 1, 2019.
The purpose of this investor advisory is to remind investors that, just like any other speculative investment, trading futures on virtual currencies, including Bitcoin, have certain benefits and various risks.
This guide may be used by firms when they are calculating rates of return and drawdown figures in their Performance Capsule. NFA does not promote one method for determining rates of return. This guide should only be used as one tool when completing your Performance Capsule.
This video tutorial (18 min. 15 sec.), intended for commodity pool operators, summarizes the new PQR filing requirements for CPOs and highlights areas of the filing process where NFA has found deficiencies within NFA's EasyFile System and discusses common deficiencies seen in filings.
This is an addendum to the Margins Handbook, the guide providing the policies for monitoring margin risk exposure established by the exchanges and regulatory organizations that participate in the Joint Audit Committee.
Security futures, which have been authorized by Congress, can be bought and sold for either price risk management or for speculative purposes. For many reasons, security futures may or may not be an appropriate trading vehicle for any given individual. Or they may be appropriate in some circumstances but not others.
This publication discusses issues associated with order transmission and entry procedures for exchange-traded futures and options and the diligent supervision of the order transmission and order entry process by commodity professionals.
