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NFA publishes Regulatory Guide for Security Futures Products
The Regulatory Guide is just one element of a comprehensive set of resources for NFA Members who want to offer SFPs to their customers. NFA has also developed an SFP Reference Guide, which is divided into "Areas of Regulation" (e.g., registration, proficiency training, supervision, promotional material, etc.). For each area the guide lists the SFP regulatory requirements and references the specific NFA Compliance Rule or Interpretive Notice that contains the requirement.
NFA has also published an introductory brochure for investors titled “Security Futures: An Introduction to Their Uses and Risks.” Members can download all of these publications from NFA’s Web site www.nfa.futures.org or request copies from NFA’s Information Center (800-621-3570).
“Issues and Answers 2003: NFA Member Meetings” scheduled in two additional cities
“Our meetings in Los Angeles and New York in February were very successful,” said Larry Dyekman, director of Communications and Education at NFA. “Our Members appreciate the opportunity to discuss industry issues and get answers to their questions.”
A few weeks prior to each meeting, NFA solicits Members located in and around the meeting’s location to determine what issues they would like to discuss. NFA staff subsequently develops the meeting’s agenda to incorporate the Members’ suggestions.
NFA encourages Members to visit the NFA Web site periodically to get the most current information regarding upcoming meetings.
Robert Wilmouth receives Arthur Kaplan Award
The award is named in honor of Arthur Kaplan, who served as Chairman of Futures and Options for Kids (formerly known as the CEC Children’s Fund). During his tenure as chairman, Kaplan created an awareness among the New York futures community about the plight of less fortunate children.
NFA staff scheduled to speak at upcoming industry events
Senior Vice President of Compliance Yvonne Downs will also participate at the Workshop, serving on a panel that will discuss “Regulatory Examination Priorities for 2003.” And Compliance Associate Director John Brodersen will appear on a panel discussing “Electronic Communications and Record Retention.”
Downs will also participate in the FOW’s Derivatives and Risk Expo on May 20-21 in New York. She will be part of a round table discussion of “The FCM Business 2003.” Sexton will speak at the Managed Funds Association’s Forum 2003 on June 16-18 in Chicago. He will discuss the proper use of Web sites to promote futures trading.
NFA will also sponsor an information booth at Forum 2003 and at the Managed Account Report’s Mid-Year Conference on Alternative Investments on June 22-24 in Orange County, California.
NFA staff attend Fraud Working Group meeting
NFA’s participation in the Working Group fosters more effective communication among regulatory and law enforcement agencies, resulting in more effective customer protection efforts.
NFA gives risk management presentation at Farm Bureau Convention
Joint Audit Committee meeting highlights
The JAC also discussed the CFTC's revamped inspection program for SROs. The CFTC representatives reviewed with the JAC their draft inspection guide and fielded numerous questions from the committee about certain topics the CFTC plans to address in its new program.