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
- Cybersecurity Workshop Session (PDF)
- Financial Information on Forms PQR and PR Session (PDF)
- Swap Dealer Regulatory Session (PDF)
Resources