Member Regulatory Workshop Materials May 2017
National Futures Association
Member Regulatory Workshop
Wednesday and Thursday, May 10 - 11, 2017
New York Marriott Downtown
New York, N.Y.
Below are the materials and resources from NFA's Member Regulatory Workshops held in New York and Chicago, Ill. Please note: An audio recording of the New York workshop will be available in early June.
- NFA cybersecurity examination findings
- Cybersecurity expert panel
Audio Recordings | Swap Dealer Regulatory Session
- Themes from SD risk and market practice examinations
- NFA disciplinary process
- SD examinations
- Cybersecurity Workshop Session (PDF)
- Financial Information on Forms PQR and PR Session (PDF)
- Swap Dealer Regulatory Session (PDF)