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Compliance Workshop Materials for Forex IBs, CTAs and CPOs - New York

National Futures Association's
Compliance Workshop for Forex IBs, CTAs and CPOs
Tuesday, June 28, 2011
8:30a.m.-4:30p.m.
NYMEX World Headquarters
World Financial Center
One North End Avenue
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). However, some of the materials (those marked with an asterisk) have been developed specifically for the seminar and we encourage you to bring copies of them with you.

Registration Issues Session

Promotional Material and Sales Practices Session

Supervision and Recordkeeping Session

CPO/CTA Disclosure Document and Performance Reporting Session

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