Introducing Broker (IB) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand an introducing broker's (IB) regulatory obligations.
- Annual IB Requirements
- Anti-Money Laundering
- Books and Records
- Business Continuity and Disaster Recovery
- Guaranteed IB Requirements
- Independent IB Requirements
- Sales Practice and Promotional Material
- Security Futures Products
- Self-Examination Questionnaire
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.