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CPO/CTA Regulatory Seminar Materials - New York

National Futures Association's
Commodity Pool Operator/Commodity Trading Advisor Regulatory Seminar
Thursday, April 22, 2010
NYMEX World Headquarters
New York, New York

In an effort to be more cost-effective, NFA will not be distributing a binder of resource materials to seminar attendees. However, we are making all of the materials available online for you to view and choose which ones you would like to download, print and bring with you to the seminar.

Some of the materials are regulatory guides that you are already familiar with and may not choose to bring with you (e.g., NFA's Self-Examination Questionnaire, Disclosure Document Guide and Regulatory Guide to Compliance Rule 2-29). However, some of the materials have been developed specifically for the seminar and we encourage you to bring copies of them with you.

Agenda

Session One: The Current State of CPO/CTA Regulation

  • No handouts

Session Two: Disclosure Document and Performance Reporting

Session Three: Pool Financial Reporting

Session Four: Sales Practices

 Session Five: The NFA Audit Process

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Electronic Filings

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