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| Publications | |
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We developed these publications to help our Members better understand and meet their regulatory responsibilities. You can view and print these publications by downloading them using Adobe Acrobat Reader. If you don't have Adobe Acrobat Reader, you can download it now.
Forex Transactions: A Regulatory Guide provides our Forex Dealer Members with an understanding of the requirements that govern off-exchange foreign currency (forex) transactions. Electronic Trading and Order Routing Systems Disclosure Statement (approved in March 1999) provides guidance on the differences, risks and limitations of liability of the electronic system utilized in the futures industry. Security Futures Products: A Regulatory Guide provides our Members who are notice-registered broker dealers with an understanding of the requirements that govern security futures products and the resources needed for offering and trading security futures products for customers. Risk Disclosure Statement for Security Futures Contracts: Approved on October 7, 2002. CFTC Regulations - Part 4 sets forth the regulatory requirements for CPOs and CTAs. Disclosure Documents: A Guide for CPOs and CTAs discusses the requirements CPOs and CTAs must meet under Part 4, presents a sample break-even analysis and performance table, and describes the process NFA's Disclosure Document Review Team uses to approve Disclosure Documents. A Guide to NFA Compliance Rule 2-29: Communications with the Public and Promotional Material presents an in-depth discussion of the standards that NFA Members must apply to their advertising. The Margins Handbook provides the policies for monitoring margin risk exposure established by the exchanges and regulatory organizations that participate in the Joint Audit Committee. The NFA Manual contains the organization's Articles, Bylaws, Compliance Rules and Financial Requirements, Arbitration Code and Member Arbitration Rules, Registration Rules and Interpretive Notices. NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs discusses how to prepare for an NFA audit, highlights a number of other general regulatory requirements and addresses accounting procedures for FCMs, IBs and Commodity Pools. A Plain English Handbook: How to Create Clear Disclosure Documents prepared by the SEC, can be downloaded from the SEC web site. Self-Examination Checklist: For FCMs, IBs, CPOs and CTAs Recommendations for Best Practices in Order Entry and Transmission of Exchange-Traded Futures and Options Transactions discusses issues associated with order transmission and entry procedures for exchange-traded futures and options and the diligent supervision of the order transmission and order entry process by commodity professionals (Word Document).
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