NFA Compliance Regulatory Workshops Registration

NFA will hold compliance regulatory workshops at Summit Chicago in Chicago, Ill. on February 25, 2019 and the New York Marriott Downtown in New York, N.Y. on February 27, 2019.

During the workshops, Ron Filler, NFA Public Director and Professor of Law at The New York Law School, and NFA staff will discuss recent initiatives at NFA and developments in cybersecurity, among other topics.


Workshop Details - Chicago:

Date: Monday, February 25, 2019
Time: Session 2: Cybersecurity Session
9:00 a.m. – 10:15 a.m. (Registration begins at 8:00 a.m.)

Session 3: Futures Compliance Regulatory Session
10:30 a.m. – 12:10 p.m. (Registration begins at 10:15 a.m.)

Location: Summit Chicago
205 N. Michigan Ave. 10th Floor
Chicago, Ill. 60601

Agenda (subject to change):

Session 2
9:00 a.m. - 9:10 a.m. Welcome
9:10 a.m. - 10:15 a.m. Cybersecurity Regulatory Update & Panel
10:15 a.m. - 10:30 a.m. Break
Session 3
10:30 a.m. - 11:15 a.m. NFA Updates & Recent Examination Themes
11:15 a.m. - 12:00 p.m. CPO Internal Controls
12:00 p.m. - 12:10 p.m. Closing Remarks

Workshop Details - New York:

Date: Wednesday, February 27, 2019
Time: Session 1: Swap Dealer Regulatory Session
9:00 a.m. – 11:00 a.m. (Registration begins at 8:00 a.m.)

Session 2: Cybersecurity Session
11:15 a.m. – 12:45 p.m. (Registration begins at 11:00 a.m.)

Session 3: Futures Compliance Regulatory Session
1:00 p.m. – 3:10 p.m. (Registration begins at 12:45 p.m.)


Location: New York Marriott Downtown
85 West St. at Albany St.
New York, N.Y. 10006

Agenda (subject to change):

Session 1
9:00 a.m. - 9:10 a.m. Welcome
9:10 a.m. - 10:15 a.m. Update on SD Examinations
10:15 a.m. - 10:30 a.m. Break
10:30 a.m. - 10:45 a.m. Recent NFA Updates & Initiatives
10:45 a.m. - 11:00 a.m. BCC Process
11:00 a.m. - 11:15 a.m. Break
Session 2
11:15 a.m. - 12:20 p.m. Cybersecurity Regulatory Update & Panel
12:20 p.m. - 12:35 p.m. NFA Member Resources
12:35 p.m. - 12:45 p.m. Closing Remarks
12:45 p.m. - 1:00 p.m. Break
Session 3
1:00 p.m. - 1:10 p.m. Welcome
1:10 p.m. - 2:00 p.m. NFA Updates & Recent Examination Themes
2:00 p.m. - 2:15 p.m. Break
2:15 p.m. - 3:00 p.m. CPO Internal Controls
3:00 p.m. - 3:10 p.m. Closing Remarks