FAQs
- Search FAQs
- Arbitration and Mediation
- Compliance
- Investor Information
- NFA Assessment Fees
- Registration
- Annual Filings
- Communications
- Disciplinary Information
- Filing Applications in ORS
- Filing Firm Withdrawal Requests and Notices of Individual Withdrawals in ORS
- Foreign Registrants and Applicants
- General Registration Questions
- Making Changes to Registration Information in ORS
- NFA Membership
- ORS System Requirements and Security Managers
- Proficiency Examinations
- Requirements for FCM/RFED and IB Applicants
- Temporary Licenses
- Regulation
Home
>
FAQs
>
Compliance
>
Enhanced Supervisory Requirements
>
I used to work as a broker for a firm that NFA later...
I used to work as a broker for a firm that NFA later added to the Disciplined Firm List. Will I be designated as an AP who has worked at a Disciplined Firm?
Probably, although there are limited exemptions for individuals who worked at a Disciplined Firm a long time ago or for a short period of time. See Section A-4 of the Interpretive Notice at 9021 for a complete description of the exemptions.
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy