Home > FAQs > Compliance > Examinations > I'm the compliance officer for a new firm. Can I meet with NFA staff outside...

I'm the compliance officer for a new firm. Can I meet with NFA staff outside of an examination to see if we have everything in order?

You may contact NFA to request an educational visit. An educational visit is voluntary, available at no cost, and usually occurs within six to nine months after NFA membership becomes effective. During the visit, NFA staff will review your firm's operations, suggest improvements in your compliance procedures, discuss your regulatory requirements and any areas of concern you might have, and provide you with an educational binder that includes several of our most frequently used resources. These visits give firms the opportunity to ask questions about their regulatory obligations, and they provide NFA staff with the opportunity to learn about a new Member's business so that a future examination will be more efficient.

If you are interested in an educational visit, contact NFA's Information Center at 800-621-3570 or information@nfa.futures.org.

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