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Home Members Self-Examination Questionnaire

Self-Examination Questionnaire

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.

Self-Examination Questionnaire

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  • Entire Self-Examination Questionnaire (PDF)
  • Entire Self-Examination Questionnaire (Word)
  • Revision Notes (Last Revision August 17, 2021) (HTML)

Self-Exam Questionnaire Appendix A

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  • Appendix A—Anti-Money Laundering Questionnaire (PDF)
  • Appendix A—Anti-Money Laundering Questionnaire (Word)

Self-Exam Questionnaire Appendix B

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  • Appendix B—Business Continuity and Disaster Recovery Plan Questionnaire (PDF)
  • Appendix B—Business Continuity and Disaster Recovery Plan Questionnaire (Word)

Self-Exam Questionnaire Appendix C

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  • Appendix C—Ethics Training Policy Questionnaire (PDF)
  • Appendix C—Ethics Training Policy Questionnaire (Word)

Self-Exam Questionnaire Appendix D

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  • Appendix D—Privacy Policy Questionnaire (PDF)
  • Appendix D—Privacy Policy Questionnaire (Word)

Self-Exam Questionnaire Appendix E

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  • Appendix E—Use of Third-Party Service Providers Questionnaire (PDF)
  • Appendix E—Use of Third-Party Service Providers Questionnaire (Word)

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