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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 February 2016.)

February 2016 Revisions: Updated to include section on Cybersecurity—NFA's Interpretive Notice to NFA Compliance Rules 2-9, 2-36 and 2-49 entitled Information Systems Security Programs.

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

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