NFA's Logo
Home > FAQs > Compliance > Enhanced Supervisory Requirements > What are the enhanced supervisory requirements?

What are the enhanced supervisory requirements?

These are additional requirements that Members must comply with if they meet certain criteria. The additional requirements include tape-recording sales solicitations, increased capital, and filing promotional material and reports with NFA. See Section II of the Interpretive Notice 9021.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy