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Will NFA announce that it is coming to do an examination?

In most cases, a member of NFA's examination team will notify a Member by telephone of an upcoming examination. When possible, NFA will provide this notice about two weeks before the visit. This announcement is intended to provide the Member and key personnel with the opportunity to adjust their calendars accordingly and gather all necessary documents. In order for NFA to effectively meet its obligations, NFA cannot announce examinations in certain circumstances, including examinations of FCMs and RFEDs who hold customer funds, firms with sales practice concerns, or firms with customer complaints.

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