NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs

Entire NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs in PDF format (Updated as of October 2008.)

You can also download each Appendix in PDF format by clicking on the links below:

• Appendix A - Securities Haircuts in PDF format
• Appendix B - Anti-Money Laundering Questionnaire in PDF format
• Appendix C - Business Continuity and Disaster Recovery Plan Questionnaire in PDF format
• Appendix D - Ethics Training Policy Questionnaire in PDF format
• Appendix E - Privacy Policy Questionnaire in PDF format