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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.
Session One: The Current State of CPO/CTA Regulation
- No handouts
Session Two: Disclosure Document and Performance Reporting
- Disclosure Document and Performance Reporting (PowerPoint slides)
- Disclosure Documents: A Guide for CPOs and CTAs
- Sample Performance Calculation
- NFA Interpretive Notice: Compliance Rule 2-34: Performance Reporting and Disclosures
- Common Errors in Break-Even Analysis
- User's Guide to NFA's Disclosure Document Electronic Filing System
- Disclosure Document System Filing Common Errors
- Part 4 Exemption Summary
Session Three: Pool Financial Reporting
- Pool Financial Reporting - NFA (PowerPoint slides)
- Pool Quarterly Reports User Guide
- Pool Quarterly Reports Help Text and Instructions
- Pool Financial Reporting - Cortland (PowerPoint slides)
- Pool Financial Reporting - Arthur Bell (PowerPoint slides)
Session Four: Sales Practices
- NFA Interpretive Notice: Use of Online Social Networking Groups to Communicate with the Public
- NFA Interpretive Notice: NFA Compliance Rule 2-9: Supervisory Procedures for Email and the Use of Websites
- A Guide to NFA Compliance Rule 2-29: Communications with the Public and Promotional Material
Session Five: The NFA Audit Process
Online Registration System
Electronic Filings
NFA Members can file many of their required documents electronically.
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