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.

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