NFA held 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 5, March 18 and 19.
To provide Members with an opportunity to ask questions of NFA's leadership, NFA held its eighth annual Town Hall webinar on Wednesday, October 23, 2024.
NFA held Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), introducing broker (IB) and swap dealers Members on April 9, April 11, and April 17.
FCMs use this form to report their month ending assessment fees. Note, this form can be filled and printed. To view the fillable fields, you must download or save (right-click and "Save") the form to your desktop, and open in an appropriate PDF viewer.
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.
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.
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.
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.
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.
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.
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.
