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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 January 2016)

January 2016 Revisions: Removed references to "January 4, 2016" effective date as amendments to NFA Compliance Rule 2-36, Financial Requirements Sections 11 and 12, and the adoption of Interpretive Notice entitled "NFA Compliance Rule 2- 36: Risk Management Program for Forex Dealer Members" are now effective.

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 January 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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