Regulatory success hinges upon our Members voluntarily complying with NFA's rules and requirements. In this Compliance section, we focus on the audit process, some of the regulatory issues that are unique to particular types of membership categories and some of the programs we've established to help Members meet their regulatory obligations.
All NFA Members should review the information contained in the General Compliance Issues section as this covers the NFA audit process plus rules that apply to all NFA Members regardless of their registration category.
Each Member should also review the information contained in the section related to their respective registration category (FCM, RFED, IB, SD, MSP, CPO, and/or CTA). These sections discuss the regulatory requirements unique to each category. For example, the FCM, RFED and IB sections discuss these Members' financial reporting requirements while the CPO and CTA sections discuss disclosure document requirements.
The information presented here is only intended to call your attention to key compliance issues. More in-depth discussions of many of these issues can be found in the Regulatory Guides contained in the Publication Library.
National Futures Association is a member of the Joint Audit Committee ("JAC").
On August 15, NFA held a webinar for entities that previously qualified for the exemption under CFTC Regulation 4.13(a)(4).
NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your compliance questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to email@example.com.
NFA Members can file many of their required documents electronically.