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.

The Summit
  Chicago, Ill.

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.

Audio Recordings

Audio recording | Financial Reporting for CPOs and CTAs (MP3)

Audio recording | Cybersecurity (MP3)

  • NFA cybersecurity examination findings
  • Cybersecurity expert panel

Audio Recordings | Swap Dealer Regulatory Session

SD Session Audio Recording 1 (MP3) | SD Session Audio Recording 2 (MP3) | SD Session Audio Recording 3 (MP3)

  • Welcome
  • Themes from SD risk and market practice examinations
  • NFA disciplinary process
  • SD examinations

Workshop Materials