Member Education & Resources

Type Title Year Topic Category Summary
Workshop 2024 Member Regulatory Workshops 2024 FCM, CTA, CPO, SD, IB, FDM 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.
PDF Document FCM Assessment Fee Summary Report 2024 FCM 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.
HTM Document 2024 Financial Reporting Due Dates 2023 SD Financial Reporting Due Dates (for month end and quarter end, as applicable).
HTM Document 2024 SIDR Statement Due Dates 2023 FCM Details on SIDR Statement reporting due dates.
HTM Document 2024 1/FR and FOCUS Monthly Financial Report Due Dates 2023 FCM, FDM Details on monthly financial reporting due dates.
HTM Document 2024 Risk Data and Margin Monitoring Filing Due Dates for Swap Dealers 2023 SD Details on risk data and margin monitoring filing due dates for SDs.
HTM Document 2024 Daily Financial Statement Holiday Filing Requirements 2023 FDM, FCM Details on daily financial statement holiday filing requirements.
HTM Document 2024 Holiday Filing Requirements for Swap Dealers 2023 SD Details on holiday filing requirements for SDs.
Webinar 2023 Town Hall Webinar 2023 CPO, FCM, CTA, SD, IB, FDM To provide Members with an opportunity to ask questions of NFA's leadership, NFA held its seventh annual Town Hall webinar on May 3, 2023.
HTM Document RFED Reporting Requirements 2023 FDM Description of RFED reporting requirements.
HTM Document FCM Reporting Requirements 2023 FCM Description of FCM reporting requirements.
Webinar 2023 Member Regulatory Workshops 2023 SD, CPO, IB, FDM, CTA, FCM 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.
HTM Document Forex Transactions: A Regulatory Guide 2022 Forex FCM, CPO, CTA, FDM, IB This guide provides an overview of forex transactions and associated compliance requirements.
Workshop 2022 Virtual Member Regulatory Workshop 2022 SD, CPO, FCM, CTA, IB, FDM 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.
HTM Document SOFR-related Proxies and Approximations for Initial Margin Model Purposes 2022 Margin SD This page contains information for SDs on properly treating SOFR exposure when calculating initial margin.
Webinar 2022 Town Hall Webinar 2022 FCM, FDM, IB, SD, CPO, CTA To provide Members with an opportunity to ask questions of NFA's leadership, NFA conducted its sixth annual Town Hall webinar on May 12, 2022.
HTM Document SD Reporting Requirements 2021 SD Details on reporting requirements for SD Members.
Webinar NFA and the NIBA joint webinar: Supervision in a Hybrid Environment 2021 Coronavirus CTA, FDM, IB, CPO, FCM, SD 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.
Webinar SD Exams—What to Expect Webinar 2021 SD 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.
HTM Document NFA Regulatory Requirements Guide 2021 IB, CTA, CPO, FCM, FDM 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.
HTM Document Self-Exam Questionnaire 2021 IB, CTA, CPO, FDM, FCM 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.
Webinar Annual Questionnaire Webinar 2020 MSP, IB, SD, CTA, FDM, FCM, CPO 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.
Webinar NFA's Initial Margin Ongoing Monitoring Program Webinar 2020 Margin SD To provide Members with information on the revised program, as well as answer questions, NFA held a webinar on Tuesday, September 15, 2020.
PDF Document 2020 Supplement to the Security Futures Risk Disclosure Statement 2020 Security Futures Products FCM, IB The supplement discusses the recent amendments to the Risk Disclosure Statement for Security Futures Contracts.
PDF Document Risk Disclosure Statement for Security Futures Contracts 2020 Security Futures Products FCM, IB This disclosure statement discusses the characteristics and risks of standardized security futures contracts traded on regulated U.S. exchanges.
PDF Document A Guide to Communications with the Public and Promotional Material 2020 Sales Practices and Promotional Material CPO, FCM, IB, CTA, FDM This guide presents an in-depth discussion of the standards that NFA Members must apply to their advertising.
PDF Document Disclosure Documents: A Guide for CPOs 2020 CPO 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.
PDF Document Disclosure Documents: A Guide for CTAs 2020 CTA 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.
Webinar Swaps Proficiency Requirements Webinar 2020 FDM, IB, SD, CPO, FCM, CTA 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.
Webinar Swaps Proficiency Requirements Administrator Training Webinar 2019 FCM, FDM, SD, CTA, CPO, IB 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.
PDF Document BASIC: A Due Diligence Resource for the Investing Public 2019 FDM, SD, FCM, IB, CTA, CPO 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.
Webinar CPO Internal Controls System Webinar 2019 CPO 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.
PDF Document Exemptions System Easy Reference Guide 2018 CTA, CPO The following instructions outline how to file electronic exemptions using NFA's Exemptions System.
HTM Document Investor Advisory 2017 Virtual Currency FCM, CPO, IB, CTA 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.
XLS Document NFA Sample Performance Guide 2016 CTA 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.
Video Tutorial How to Avoid Common PQR Filing Deficiencies 2014 CPO 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.
PDF Document The Joint Audit Committee Margins Handbook Update 2003 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.
PDF Document Security Futures: An Introduction to Their Uses and Risks 2002 Security Futures Products 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.
PDF Document Recommendations for Best Practices in Order Entry and Transmission of Exchange-Traded Futures and Options Transactions 2001 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.
HTM Document Joint Audit Committee Margin Handbook 1999 Link to Joint Audit Committees document repository website with the latest margin handbook.
PDF Document Electronic Trading and Order Routing Systems Disclosure Statement 1999 CTA, FCM, SD, FDM, IB, CPO Provides guidance on the differences, risks and limitations of liability of the electronic system utilized in the futures industry.