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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 August 2016)

August 2016 Revisions: Added section under Supplemental Questionnaire for IBs on Forex Electronic Trading Systems—NFA Compliance Rules 2-39 and NFA Interpretive Notice 9060. Added technical clarifications under Supplemental Questionnaire for CPOs on Financial—CFTC Regulation 4.22, 4.23 and 4.27, and NFA Compliance Rule 2-13.

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 August 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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