FAQs
- Search FAQs
- Arbitration and Mediation
- Compliance
- Investor Information
- NFA Assessment Fees
- Registration
- Annual Filings
- Communications
- Disciplinary Information
- Filing Applications in ORS
- Filing Firm Withdrawal Requests and Notices of Individual Withdrawals in ORS
- Foreign Registrants and Applicants
- General Registration Questions
- Making Changes to Registration Information in ORS
- NFA Membership
- ORS System Requirements and Security Managers
- Proficiency Examinations
- Requirements for FCM/RFED and IB Applicants
- Temporary Licenses
- Regulation
Home
>
FAQs
>
Compliance
>
Supervision
>
How often must I conduct an onsite audit of a branch office or GIB?
How often must I conduct an onsite audit of a branch office or GIB?
Members are expected to conduct an onsite review of a each branch office or GIB at least annually.
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy