Webinars

 

Click on the link below to access NFA's educational program of your choice. The link will take you to a third-party Web site where a configuration test will automatically be launched to ensure you will be able to view the presentation.

After passing the configuration test, you will be required to enter "Guestbook" information (name, e-mail address, etc.). Once you sign the Guestbook, you will enter the Viewer site and the presentation will begin playing automatically.

If you are experiencing any technical difficulties, please email tsc@talkpoint.com or call technical support at 866-709-8255.

If you have any other questions, please email NFA.



Effective September 30, 2013, NFA Compliance Rule 2-46 requires each CTA Member to file quarterly reports within 45 days of the calendar quarter end. The first quarterly PR form filing will be due November 14, 2013. Additionally, pursuant to CFTC Regulation 4.27, all CTAs (even those who are not Members of NFA) are required to file an annual CTA PR report within 45 days of the calendar year end. NFA Member CTAs can meet their CFTC filing requirements by filing the NFA CTA PR form for that quarter through NFA's EasyFile system.

On October 3, 2013, NFA hosted a webinar to help CTAs understand their new quarterly reporting requirements. During the 60-minute webinar, NFA staff provided an in-depth discussion and walkthrough of the filing process for CTAs.

View the archived webinar | Download the presentation slides





The Commodity Futures Trading Commission (CFTC) recently published its final rule definitions for "swap," "security-based swaps" and "security-based swap agreements." As a result, firms that are not currently registered with the CFTC, but are acting as an FCM, IB or CTA with respect to swaps subject to the jurisdiction of the CFTC, will be required to register. Firms acting as CPOs also are required to register, unless the firm properly claims an exclusion or exemption from registration via NFA’s Electronic Exemption System.

On September 20, 2012, NFA hosted a webinar to help these new swap FCMs, IBs, CPOs and CTAs understand the registration process. During the 60-minute webinar, NFA staff provided an in-depth discussion of the registration process for these new swap intermediaries, outlined the regulatory requirements and answered participants' questions.

View the archived webinar | Download the presentation slides





The CFTC and SEC have approved final rule definitions for "swap", "security-based swaps" and "security-based swap agreements" contained in the Dodd-Frank Act. The joint rule also provides detailed rules and interpretive guidance on what types of contracts fit these definitions. The rules have been published in the Federal Register and the clock has begun ticking for Swap Dealers and Major Swap Participants to register with the CFTC and become NFA Members.

On August 23, 2012, NFA held a webinar to help Swap Dealers and Major Swap Participants understand the registration process. During the 90-minute webinar, NFA staff provided an in-depth discussion of the registration process, including firm and individual registration filing requirements; provisional registration of swap dealers and major swap participants; Section 4s requirements; and the due diligence obligation for swap entities concerning associated persons of swap dealers and major swap participants.

View the archived webinar | Download the presentation slides





On February 24, 2012, the CFTC issued final rules amending CFTC Part 4 Regulations to rescind an exemption from CPO registration for certain qualifying pools under CFTC Regulation 4.13(a)(4). This means that many entities that previously qualified for the 4.13(a)(4) exemption have until December 31, 2012, to register with the CFTC and become CPO Members of NFA.

On August 15, NFA held a 90-minute webinar for these previously exempt entities. NFA staff explained who has to register, provided a walkthrough of the registration process, and gave a brief overview of a CPO's regulatory requirements.

Corrections:

  1. During the webinar, we stated that the addition of "chief compliance officer" (CCO) to the definition of principal applied only to futures commission merchants, swap dealers and major swap participants. On April 3, 2012, the CFTC adopted amendments to Commission Regulation 3.1(1)(1) that added "chief compliance officer" to the definition of principal for any registration category. NFA subsequently amended its registration rules to harmonize its rules with CFTC regulations. Effective July 18, 2012, a CCO at any entity registered with the CFTC and NFA, including commodity pool operators and commodity trading advisors, must be listed as a principal of the firm.

  2. On October 12, 2012, the CFTC's final rules containing the definition of a "swap" become effective. Most cash-settled forwards are incorporated in the definition of a swap, including foreign currency forwards. The final rules provide that foreign exchange swaps are swaps unless and until the Treasury Secretary makes a determination otherwise.

View the archived webinar | Download the presentation slides





On June 8, 2011 NFA hosted a 90-minute webinar that focused on areas in which NFA Compliance staff has frequently found regulatory deficiencies, including registration issues, disclosure documents, recordkeeping, promotional material and anti-money laundering programs for IBs.





On January 22, 2009 NFA hosted a one-hour Web seminar entitled, "How to File CPO and CTA Disclosure Documents Electronically with NFA". During the Web seminar, NFA specialists in disclosure documents gave an overview of the new Disclosure Document filing system and helped CPOs and CTAs understand how they can file their documents using the new system.





On July 26, 2007 NFA hosted a one-hour Web seminar entitled, "The Do's and Don'ts of Promotional Material". During the Web seminar, NFA specialists in promotional material review gave an overview of NFA Compliance Rule 2-29: "Communication with the Public and Promotional Material". NFA specialists walked through the restrictions and responsibilities outlined in each section of the rule and discussed areas where they see the most deficiencies. The Web seminar also addressed supervisory requirements for Members, including supervision of electronic communications, and described NFA's pre-review program.





On September 28, 2006 NFA conducted a one-hour Web seminar entitled, "Anti-Money Laundering". NFA's Compliance and Legal staff discussed anti-money laundering requirements for FCMs and IBs, focusing on Customer Identification Programs, Suspicious Activity Reporting and information sharing requirements. The Web seminar also addressed common AML audit deficiencies and how to correct them. The program concluded with a question and answer session. Please note that this web-based training does not satisfy a firm's AML training requirement.

View the archived webinar | Download the presentation slides

Online Registration System

 

Login to ORS

Forgot Password?      Enroll Now

Electronic Filings

NFA Members can file many of their required documents electronically.

Submit a Filing 

Search NFA Manual

You can search the NFA Manual by section, Rule number and/or keywords.

Search OR View the entire Manual.
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy