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NFA schedules Member Workshops in Chicago and New York

NFA is offering half-day training workshops for Members in New York and Chicago on Wednesday, November 14, and Tuesday, November 27, respectively. The afternoon workshops are being developed to provide NFA Members with information regarding specific registration and compliance issues in relation to security futures products. Although there is no charge to attend these workshops, registration is recommended.

The workshops are being developed for NFA Members whose primary business focus has been in the futures markets but who are now looking to offer security futures products to their customers. The content of the workshops will focus on the rules NFA recently developed in order for our Members to trade these new products.

Topics of discussion include the following:

  • Registration and Proficiency
  • Account Opening
  • Trading and Execution Issues
  • Use of Non-Public information
  • Promotional Material
  • Supervision
  • Securities laws that will affect NFA Members

The team behind the planning of this workshop is made up of members of the Compliance, General Counsel, Communications & Education and Training Departments.

Associate Director of Compliance Regina Thoele says "We have been working very hard to create an interactive workshop that will be thorough and useful for all attendees. We want to make sure we provide Members with the information they need to meet their regulatory requirements regarding these new security futures products."

In addition to this educational effort, NFA will publish a regulatory guide to security futures products that will be available to all Members in mid-November.

NFA would like to incorporate Members' suggestions for additional workshop topics into the program. Send suggestions via e-mail to information@nfa.futures.org. Official workshop registration forms will be sent to Members in mid-October.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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