NFA’s Examination Approach for Swap Dealers and Major Swap Participants

In anticipation to launching its first examinations of Swap Dealer (SD) and Major Swap Participant (MSP) Member firms based on NFA rules that incorporate CFTC regulations pursuant to Section 4s of the Commodity Exchange Act, NFA hosted an audio conference on June 5, 2014.

NFA senior staff discussed the proposed approach for NFA's SD and MSP examination program. A Q&A session followed the presentation.