National Futures Association

Compliance

	Member Advisories
	Forex
	Audits
	Financial Surveillance
	Investigations
	Rule Enforcement
	Promotional Material Review
	Disclosure Document Review
	Trade Practice and Market Surveillance
	Enhanced Supervision/Telemarketing
	Sales Practice Rules
	Issues for FCMs & IBs
	Issues for CPOs & CTAs
	Compliance Publications
	Security Futures Products
	Joint Audit Committee

	Electronic Filings

	WinJammer
	Easy File (1-FR-IB Filers)
	Easy File (Pool Filers)
	Easy File (FOREX Filers)
	Disclosure Documents
	Promotional Material
	Segregated Funds Investments
	FOREX Reporting
	Annual Questionnaire
	Exemptions
	Complaints

Member Guide to Security Futures Products

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Security Futures Products: A Regulatory Guide in PDF format (32 pages)
(Updated as of January 1, 2004)
This Guide provides our Members who are notice-registered broker dealers with an understanding of the requirements that govern security futures products and the resources needed for offering and trading security futures products for customers.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.

Š2003-2009 National Futures Association