2024 Member Regulatory Workshop
NFA held Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED) introducing broker (IB) and swap dealers (SD) Members April 9th in Chicago, April 11th in New York and April 17th in London.
NFA staff discussed a variety of topics, including common exam findings, recordkeeping and e-communications, cybersecurity, and the updated Member Questionnaire requirements, among others topics.
Session materials are included below. Audio recordings will be available in the coming weeks.