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June 16, 2003
How to Provide Disaster Recovery Contact Information to NFA if you are a Member FCM for which NFA is not the DSRO
Recently you received notification that NFA Compliance Rule 2-38 (Business Continuity and Disaster Recovery) will become effective July 1, 2003. One aspect of this Rule requires members to provide NFA with the name of and contact information for an individual who NFA can contact in case of an emergency. Each FCM Member must also provide NFA with the name of and contact information for a second individual who can be contacted if NFA cannot reach the primary contact. These individuals must be authorized to make key decisions in the event of an emergency.
Please provide NFA with the Business Continuity and Disaster Recovery contact information by following the procedures below.
- NFA will provide a custom version of the annual questionnaire that requests business continuity and disaster recovery contact information. This version will be available with the July 2003 questionnaires.
- The contact information will include:
Postal Address (required)
Primary Phone Number (required)
Second Phone Number * (optional)
Email Address * (optional)
- *Even though this information is optional, we strongly encourage you to provide it. A second telephone number and an e-mail address will make it easier for us to assist you in an emergency and to facilitate an industry-wide response in a crisis situation. Otherwise, we may not be able to contact you if the emergency puts your telephone out of service or makes it physically impossible to access it.
- Each FCM must also provide contact information for a second individual.
- You can access the questionnaire via the NFA web-site at www.nfa.futures.org. The annual update notification will include specific login instructions.
- The business continuity and disaster recovery information is on page 1 of the questionnaire. NFA encourages each Member to provide the contact information as soon as possible and to keep this information current.
We hope these procedures provide our Members with an easy and efficient method to update their contact information. However, if you encounter any problems or have any questions, please contact one of the individuals listed below.
If your firm is located in Washington DC or the states of Delaware, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, Vermont or West Virginia, you should direct your inquiries to our New York office:
- Jennifer Augustyn, Associate Director, Compliance
If your firm is located outside of the area described above, your questions can best be answered by the following individuals in our Chicago office:
For firms beginning with the letters A-F:
- Patricia Cushing, Associate Director, Compliance
For firms beginning with the letters G-P:
- John Brodersen, Associate Director, Compliance
For firm names beginning with the letters Q-Z or beginning with a number:
- Sharon Pendleton, Associate Director, Compliance