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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 May 2013.)
May 2013 Revisions: Updated to reflect the amendments to NFA Compliance Rule 2-46: CPO and CTA Quarterly Reporting Requirements.
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
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
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