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April 15, 1996
NFA Revises Self-Examination Checklist
NFA's Board of Directors has interpreted Compliance Rule 2-9: Supervision to require that all Members conduct an annual review of their operations using a Self-Examination Checklist (formerly the Self-Examination Questionnaire). NFA previously mailed a separate questionnaire for each category of membership to its Members on an annual basis. Some Members received as many as three questionnaires.
The Checklist included in this package incorporates all of the previous checklists into one permanent booklet. Members should keep this booklet on file in order to perform their annual review of operations. A signed and dated attestation that the review has been performed must be completed each year. A sample attestation is included in the Checklist booklet.
NFA will remind Members periodically of the requirement to perform the annual review of operations.
If you have questions about the checklist, please contact the Compliance Department at (312) 781-1342. If you would like additional copies, contact the Information Center at (312) 781-1410.