NFA's Logo
Home > Compliance > Publication Library > NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs

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 January 2016.)

January 2016 Revisions: Updated to reflect the amendments to NFA's Financial Requirements Section 1 and 16, and its related Interpretive Notice to conform NFA's requirements with the CFTC's rulemaking, Enhancing Protections Afforded Customers and Customer Funds held by FCMs and DCOs.

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

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