CFTC Regulations — Part 4
Sets forth the regulatory requirements for CPOs and CTAs. Note: This link will take you outside of NFA's website to the Electronic Code of Federal Regulations.
Disclosure Documents: A Guide for CPOs and CTAs(Updated as of April 2015) Discusses the requirements CPOs and CTAs must meet under Part 4, presents a sample break-even analysis and performance table, and describes the process NFA's Disclosure Document Review Team uses to approve Disclosure Documents.
April 2015 Revisions: Updated the "Proprietary Trading Results" sections of the guide with minor revisions to clarify that pro-forma adjustments must be made for fees and commissions only.
Forex Transactions: A Regulatory Guide(Updated as of November 2015) Provides our Members with an understanding of the requirements that govern off-exchange foreign currency (forex) transactions.
November 2015 Revisions: Updated to incorporate amendments to NFA Compliance Rule 2-36, Financial Requirements Sections 11 and 12, and the adoption of the Interpretive Notice entitled "NFA Compliance Rule 2-36: Risk Management Program for Forex Dealer Members", effective January 4, 2016.
April 2015 Revisions: Updated the Hypothetical Performance section to further clarify the requirements that are applicable to promotional material directed to Qualified Eligible Persons (QEP), under Compliance Rule 2-29(c).
The Margins Handbook
Provides the policies for monitoring margin risk exposure established by the exchanges and regulatory organizations that participate in the Joint Audit Committee.
The NFA Manual
Contains the organization's Articles, Bylaws, Compliance Rules and Financial Requirements, Arbitration Code and Member Arbitration Rules, Registration Rules and Interpretive Notices. Upon request, NFA provides one complimentary copy of the NFA Manual to each NFA Member. Additional copies may be purchased for $10.00 each.
April 2014 Revisions: Updated to incorporate amendments to Interpretive Notice: NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts..
Security Futures Products: A Regulatory Guide
Provides our Members who are notice-registered broker dealers with an understanding of the requirements that govern security futures products and the resources needed for offering and trading security futures products for customers.
October 2015 Revisions: Revised General Self-Examination Questionnaire for All Members, all Supplemental Questionnaires and Appendix B—Business Continuity and Disaster Recovery Plan Questionnaire to reflect recent amendments to NFA rules and CFTC regulations.