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August 15, 2016

NFA updates Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs

NFA recently updated its Self-Examination Questionnaire, a tool for Members to use to satisfy their continuing supervisory responsibilities under NFA Compliance Rules 2-9, 2-36 and 2-39. On an annual basis, NFA Member FCMs, FDMs, IBs, CPOs and CTAs must review their operations using this questionnaire.

NFA added a Forex Electronic Trading Systems section to the Supplemental Questionnaire for IBs, and made technical clarifications within the Financial section of the Supplemental Questionnaire for CPOs. A description of the recent updates can be found on the first page of the document.

NFA updates its Self-Examination Questionnaire annually, and as relevant rules are added or amended.

If you have any questions about NFA's Self-Examination Questionnaire, please contact NFA's Information Center by calling 800-621-3570 or 312-781-1410, or emailing

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