Forex Dealer Member (FDM) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a forex dealer member's (FDM) regulatory obligations.
- Annual FDM Requirements
- Books and Records
- Business Continuity and Disaster Recovery
- Enhanced Supervisory Requirements
- Filing Requirements
- Sales Practice and Promotional Material
- Security Futures Products
- Self-Examination Questionnaire
- Third-Party Service Providers
In addition to the regulatory requirements listed above, here is some helpful information for FDMs.
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.