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June 16, 2003
How to Provide Disaster Recovery Contact Information to NFA if you are a Member IB, CPO, CTA or FCM for which NFA is the DSRO
Recently you received notification that NFA Compliance Rule 2-38 (Business Continuity and Disaster Recovery) will become effective July 1, 2003. One aspect of this Rule requires members to provide NFA with the name of and contact information for an individual who NFA can contact in case of an emergency. Each IB, CPO and CTA Member that has more then one principal and each FCM Member must also provide NFA with the name of and contact information for a second individual who can be contacted if NFA cannot reach the primary contact. These individuals must be authorized to make key decisions in the event of an emergency.
Please provide NFA with the Business Continuity and Disaster Recovery contact information by following the procedures below.
NFA will send a letter forty-five days before a firm's membership renewal date requesting that the firm complete a questionnaire. The letter provides the "URL" (web address) for accessing the questionnaire and an invoice for membership renewal fees. The firm may complete the questionnaire at any time after the "request" is generated, but the questionnaire must be completed by the membership renewal date.
NFA is modifying the annual questionnaire to include business continuity and disaster recovery contact information. This information will be on page 1 of the questionnaire and be available on the July 2003 questionnaires.
We hope these procedures provide our Members with an easy and efficient method to update their contact information. However, if you encounter any problems or have any questions, please contact one of the individuals listed below.
If your firm is located in Washington DC or the states of Delaware, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, Vermont or West Virginia, you should direct your inquiries to our New York office:
If your firm is located outside of the area described above, your questions can best be answered by the following individuals in our Chicago office:
For firms beginning with the letters A-F:
For firms beginning with the letters G-P:
For firm names beginning with the letters Q-Z or beginning with a number: