NFA's Compliance Department offers a regulatory service designed for Members new to NFA and the futures industry. An educational visit is voluntary, available at no cost and usually occurs within six to nine months after NFA Membership becomes effective. During the visit, NFA staff will review your firm's operations, suggest improvements in your recordkeeping and compliance procedures, plus discuss your regulatory requirements and any areas of concern you might have. NFA staff will also provide you with an educational binder that includes several of our most frequently used resources.
If you are interested in having an educational visit, contact NFA's Information Center at (800) 621-3570 or via email at email@example.com. Even if you choose not to participate in the educational visit program, you may view NFA's New Member Orientation section for additional resources to help you understand your regulatory requirements.
NFA Members can file many of their required documents electronically.