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Registration/Compliance Workshops

NFA Announces Registration/Compliance Workshops for Currently Unregistered Forex IBs, CPOs and CTAs
in Conjunction with the Upcoming Futures and Forex Expo
Caesars Palace in Las Vegas
Saturday, September 25, 2010

On August 30, the Commodity Futures Trading Commission published its final forex rules. All forex solicitors, account managers and pool operators are required to register with the CFTC as Introducing Brokers (IBs), Commodity Trading Advisors (CTAs) or Commodity Pool Operators (CPOs) and become Members of National Futures Association. The deadline for registration is October 18, 2010.

To help individuals understand the registration process and their new regulatory requirements, NFA will be offering registration/compliance workshops in conjunction with the upcoming Futures and Forex Expo to be held on September 23-25 at Caesars Palace in Las Vegas. These workshops will outline the registration process and discuss regulatory requirements for each registration category.

The schedule for the workshops is as follows:

Saturday, September 25, 2010

8:30 - 10:30 a.m.	Registration workshop for all registration categories. This session will cover who has to register and will present a walkthrough of the registration process.
10:30 a.m. - 12:00 p.m.	General compliance workshop for all registration categories. This session will include discussion of NFA rules regarding promotional material/sales practices, supervisory procedures (including ethics training requirements, supervision of branch offices and disaster recovery/business continuity planning) and anti-money laundering requirements.

1:30 - 3:00 p.m.	Disclosure documents/financial requirements workshop for CPOs and CTAs, including performance reporting.
3:00 - 4:00 p.m.	Financial requirements for independent IBs.

4:00 - 5:00 p.m.

NFA staff available for one-on-one consultations.

All workshops will be held in the Tribune Room in the Convention Center at Caesar's Palace.

Although there is no fee to attend the workshops, advanced registration is recommended.

Registration is also required for the Futures and Forex Expo. To register for the Futures and Forex Expo, click here.

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