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Home > Compliance > Publication Library > Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs

Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs

Entire Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs in PDF format (Updated as of February 2016)

February 2016 Revisions: Added section under General Self-Examination Questionnaire for All Members 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 individual sections of the Self-Examination Questionnaire in PDF format by clicking on the links below:

Entire Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs in Word format (Updated as of February 2016)

You can also download the appendices to the Self-Examination Questionnaire in a Word format by clicking the links below:

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