NFA held a Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED) introducing broker (IB) Members and swap dealers (SD) on March 21 and March 23.
NFA held a virtual Member Regulatory Workshop for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), forex dealer member (FDM), introducing broker (IB) and swap dealer (SD) Members on June 1-2, 2022.
On Tuesday, December 7, NFA and the NIBA held a webinar that discussed NFA supervision requirements as they pertain to hybrid and remote work environments.
To provide SDs with information on the integration of capital requirements into NFA's SD exam program, and to provide general information on SD exams, NFA held a webinar on Tuesday, November 16, 2021.
On Thursday, September 23, NFA and the National Introducing Brokers Association (NIBA) held a webinar that discussed recent regulatory developments in relation to current hybrid and remote work environments.
This guide discusses how to prepare for an NFA examination, highlights a number of general regulatory requirements and addresses accounting procedures for FCMs, IBs and commodity pools.
On an annual basis, NFA Member futures commission merchants (FCM), retail foreign exchange dealers (RFED), introducing brokers (IB), commodity pool operators (CPO) and commodity trading advisors (CTA) must review their operations using NFA's Self-Examination Questionnaire. The questionnaire is designed to aid Members in recognizing potential problem areas and to alert them to procedures that need to be revised or strengthened.
NFA held a virtual Member Regulatory Workshop for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), forex dealer member (FDM), introducing broker (IB) and swap dealer (SD) Members on May 11-13, 2021.
NFA Member regulatory workshops were held in New York, N.Y. on February 25, 2020, Chicago, Ill. on February 27, 2019 and London, U.K. on March 4, 2020.
NFA Member regulatory workshops were held in New York, N.Y. on February 25, 2020, Chicago, Ill. on February 27, 2019 and London, U.K. on March 4, 2020.
NFA held a webinar to educate Members on the redesigned Annual Questionnaire, which launched on October 2, 2020. The webinar covered the transition to the new system, key differences between the old and new Annual Questionnaire and other helpful information.
To provide Members with information on NFA's current operations, regulatory approach and relief issued, as well as answer questions, NFA held a webinar on May 27, 2020.
This brochure discusses the requirements CPOs must meet under Part 4, presents a sample break-even analysis and sample performance tables, and describes the disclosure document filing and review process.
This brochure discusses the requirements CTAs must meet under Part 4, presents a sample performance table, and describes the disclosure document filing and review process.
NFA's Swaps Proficiency Requirements are now available online. To help Members understand their obligations related to the Swaps Proficiency Requirements, NFA held two webinars with identical content on January 15 and 28, 2020.
NFA's Swaps Proficiency Requirements will launch and become accessible online on January 31, 2020. To prepare SPR Admins, NFA held three webinars with identical content in October, November and December 2019.
NFA held a webinar on Monday, November 25, 2019 to help firms and individuals understand the latest updates from a multi-year rebuild to ORS including the Firm Application, Annual Registration Update, firm and individual update processes and minor revisions to the Individual Application.
Before participating in the derivatives markets, investors should learn as much as they can about the firms and individuals with which they're considering doing business. This handout discusses briefly NFA's BASIC system—a powerful resource for conducting due diligence.
On Thursday, August 29, 2019 NFA launched its redesigned BASIC system, a free tool that NFA Members and investors can use to research the background of derivatives firms and industry professionals. To walk users through the new system, NFA conducted a brief webinar on the day of launch.
On Thursday, April 11, 2019, NFA held a webinar to help CPO Members understand their obligations with regard to NFA's Interpretive Notice entitled Compliance Rule 2-9: CPO Internal Controls System which became effective Monday, April 1, 2019.
NFA adopted an Interpretive Notice which establishes disclosure requirements for futures commission merchants (FCM), introducing brokers (IB), commodity pool operators (CPO) and commodity trading advisors (CTA) that engage in activities related to virtual currencies or virtual currency derivatives. In order to ensure Members understand their obligations with regard to this Interpretive Notice, NFA held a webinar on Thursday, October 11, 2018.
The purpose of this investor advisory is to remind investors that, just like any other speculative investment, trading futures on virtual currencies, including Bitcoin, have certain benefits and various risks.
This guide may be used by firms when they are calculating rates of return and drawdown figures in their Performance Capsule. NFA does not promote one method for determining rates of return. This guide should only be used as one tool when completing your Performance Capsule.
To help non-U.S. swap dealer Members understand the 4s review process and forthcoming NFA feedback, NFA senior staff held an audio conference on December 9, 2015. There was a Q&A session after the presentation.
This video tutorial (26 min. 22 sec.), intended for Commodity Trading Advisors, explains the filing process for Form PR, which includes the annual CFTC Form CTA-PR and the quarterly NFA Form PR.
This video tutorial (18 min. 15 sec.), intended for commodity pool operators, summarizes the new PQR filing requirements for CPOs and highlights areas of the filing process where NFA has found deficiencies within NFA's EasyFile System and discusses common deficiencies seen in filings.
This is an addendum to the Margins Handbook, the guide providing the policies for monitoring margin risk exposure established by the exchanges and regulatory organizations that participate in the Joint Audit Committee.
Security futures, which have been authorized by Congress, can be bought and sold for either price risk management or for speculative purposes. For many reasons, security futures may or may not be an appropriate trading vehicle for any given individual. Or they may be appropriate in some circumstances but not others.
This publication discusses issues associated with order transmission and entry procedures for exchange-traded futures and options and the diligent supervision of the order transmission and order entry process by commodity professionals.
