Member Regulatory Conference Materials - New York
National Futures Association's
Member Regulatory Conference
Thursday, October 23, 2014
New York, New York
Below are the materials and resources from the Member Regulatory Conference held in New York on October 23, 2014.
Session One: Regulatory Update
No handouts
Session Two: NFA Examination Process
Slides (PowerPoint)
- Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs (PDF)
- NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs (PDF)
- "Registration Issues - Principals, APs and Branch Offices" (Podcast)
- Notice to Members I-14-06: Member Obligations under Bylaw 1101
- Identity Theft Prevention Program (JAC Alert 13-01)
Session Three: Filing Requirements for CPOs and CTAs
Slides (PowerPoint)
- CFTC PQR Schedule A
- Notice to Members I-14-13: Important notice to CPOs and CTAs regarding changes to the CPO Form PQR and CTA Form PQR that will become effective for the period ending June 30, 2014
- Notice to Members I-14-26: Notice to CPOs regarding changes to the CPO Form PQR and an important compliance reminder to CPOs and CTAs to ensure that Forms PQR and PR and pool Annual Reports are filed in a timely manner
Session Four: Question & Answer Session
No handouts
Session Five: Closing Remarks and Adjournment
No handouts