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Audio Conferences and Podcasts

NFA audio conferences and podcasts are online audio recordings highlighting compliance-related topics. 


NFA's feedback on 4s submissions

NFA is in the process of issuing feedback to non-U.S. Members on their policies and procedures required by the Section 4s Implementing Regulations. This feedback is being issued for areas where this is no substituted compliance. To help non-U.S. swap dealer Members understand the review process and forthcoming NFA feedback, NFA senior staff will hold a short audio conference on Wednesday, December 9, at 9:00 a.m. EST. There will be a Q&A session after the presentation.

There is no cost to participate; however, advanced registration is strongly encouraged.

Click here to register.

Once you are registered, you will receive an email containing all access information, including toll free dial-in number and event passcode.

If you are unable to attend, you will have the opportunity to listen to the recorded event on demand here beginning December 10. A transcript of this audio conference will also be available online the following week.

September 24, 2015

Audio Conference for Swap Dealers and Major Swap Participants

38 min. 45 sec. | Listen Now

To help its swap dealer and major swap participant Members prepare for upcoming examinations, NFA senior staff held an audio conference, which included topics such as NFA's examination approach and an update on NFA's continuous monitoring program. There was a Q&A session after the presentation.

Click here for a PDF transcript of the teleconference.

March 4, 2015

Update on NFA's Swap Dealer and Major Swap Participant Program

38 min. 54 sec. | Listen Now

As a follow-up to NFA's audio conference last June (see below), NFA senior staff updated its Swap Dealer (SD) and Major Swap Participant (MSP) Members on its OTC derivatives regulatory programs. The conference topics included NFA's current examination program; NFA's continuous monitoring program; the status of 4s policies and procedures documentation; self-reporting of issues; and recent notices. There also was a Q&A session after the presentation.

Click here for a PDF transcript of the teleconference.

June 5, 2014

NFA’s Examination Approach for Swap Dealers and Major Swap Participants

50 min. 25 sec. | Listen Now

NFA expects to launch its first examinations of Swap Dealer (SD) and Major Swap Participant (MSP) Member firms based on NFA rules that incorporate CFTC regulations pursuant to Section 4s of the Commodity Exchange Act. To help its SD and MSP Members prepare for an NFA examination, NFA hosted an audio conference on June 5, 2014.

NFA senior staff discussed the proposed approach for NFA's SD and MSP examination program. A Q&A session followed the presentation.

Click here for a PDF transcript of the teleconference.

January 8, 2010

Use and Supervision of Online Social Networking Communications

8 min. 11 sec. | Listen Now

This podcast discusses the application of NFA Compliance Rules to new and emerging forms of web-based promotional material. The podcast focuses on social networking websites, blogging, tweeting and video sharing.

January 8, 2010

Tips for Using NFA’s Electronic Disclosure Document Filing System

9 min. 50 sec. | Listen Now

This podcast discusses common errors made by CPOs and CTAs when filing disclosure documents electronically with NFA and how to correct them.

June 29, 2009

Preparing for an NFA Audit

8 min. 48 sec. | Listen Now

Provides a brief overview of the NFA audit process and some tips on how to prepare for an NFA audit.

June 29, 2009

Registration Issues: Principals, APs and Branch Offices

10 min. 15 sec. | Listen Now

Provides detailed explanation of who needs to listed as a principal, who needs to be registered as an Associated Person, and when it's appropriate to list a branch office and a branch office manager.

Please note: NFA's podcasts are the sole property of NFA and the information provided is for informational and educational purposes only. The content of the podcasts does not constitute any NFA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under NFA rules, the rules of any other SRO, or futures laws. This podcast is provided "as is". NFA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these podcasts in any form, nor reference them in any publication, without the express written consent of NFA.

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