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How frequently will NFA examine my firm?

NFA is required to examine FCMs and RFEDs on an annual basis if they hold customer funds. NFA conducts a risk-based analysis to determine which of its other Member firms to visit in any given period. This analysis considers many different business factors, as well as information such as customer complaints or concerns that arise during NFA's review of a firm's disclosure document, financial statement or promotional material. Generally, NFA visits CPOs, CTAs and IBs every three to four years, but the frequency may vary depending on NFA's risk analysis.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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