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What will NFA review during an examination?

NFA will potentially review all of your firm's procedures, books and records associated with your commodities business. This includes, but is not limited to, the following: 

  • Corporate Records
  • Anti-Money Laundering Policies and Practices
  • Sales Practices
  • Supervisory Procedures
  • Account Opening Documents
  • Order Tickets
  • Bunched Order Allocations
  • Margin Policies
  • Promotional Material
  • Disclosure Documents
  • Performance Capsule Support
  • Bank Records
  • Trading Records
  • Financial Statement Records
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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