|Past Member Newsletters|
December 18, 2014
Providing meaningful education to our Members is a mission that NFA takes seriously. Each year, NFA uses a variety of media to present Members with helpful information that is intended to keep them abreast of their regulatory responsibilities and maintain compliance with NFA and Commodity Futures Trading Commission rules.
Most recently, NFA has taken its Member education efforts on the road in the first part of its series of Member Regulatory Conferences. The goal of the conferences is to meet with Members in person to discuss the latest regulatory trends and rules affecting them, provide guidance and answer any questions they may have.
From September through November, NFA staff, Members and other industry professionals presented half-day conferences in Chicago, Greenwich, Conn., New York and London. The conference topics included a discussion on the current regulatory state of the industry, NFA's examination process—including common exam deficiencies, performance reporting and financial reporting requirements. Additionally, the closing portion of each conference was devoted to answering Members' questions.
Another key component of the conferences has been the presence of Ronald H. Filler, a public representative on NFA's Board of Directors and a lawyer with expertise in derivatives regulation. Mr. Filler has been integral to the discussions regarding the current state of regulation, and he has solicited feedback, questions and comments from conference attendees.
In March of 2015, NFA staff and Mr. Filler will once again hit the road to present additional Member Regulatory Conferences in Houston, San Francisco and Los Angeles. Please look for future communications from us if you would like to attend one of these conferences.
Visit our website to watch video or hear audio recordings of select sections from the Chicago Member Regulatory Conference. The materials and resources from each conference also are available for Members to download.
Additionally, if you have any suggestions on topics that you would like to see NFA staff cover in the upcoming Member Regulatory Conferences, please send us an email or contact NFA's Information Center at 1-800-621-3750 or 1-312-781-1410.