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June 16, 2003
How to Provide Disaster Recovery Contact Information to NFA if you are a Member IB, CPO, CTA or FCM for which NFA is 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 IB, CPO and CTA Member that has more then one principal and 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 send a letter forty-five days before a firm's membership renewal date requesting that the firm complete a questionnaire. The letter provides the "URL" (web address) for accessing the questionnaire and an invoice for membership renewal fees. The firm may complete the questionnaire at any time after the "request" is generated, but the questionnaire must be completed by the membership renewal date.
NFA is modifying the annual questionnaire to include business continuity and disaster recovery contact information. This information will be on page 1 of the questionnaire and be available on 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..
- If your firm has more than one principal or is an FCM, you 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.
- Even though NFA Compliance Rule 2-38 becomes effective July 1, 2003 you need not update your business continuity and disaster recovery contact information until you receive your annual update notice. If you have already received your annual update notice and have completed the questionnaire, you can either a) wait until your next annual update notice to update your business continuity and disaster recovery contact information, or b) access the questionnaire, which will be available via the NFA web-site at www.nfa.futures.org, and complete the business continuity and disaster recovery information on page 1.
- Anytime your firm's business continuity and disaster recovery contact information changes, you may access the questionnaire via the NFA web-site to update the information.
- Failure to update your questionnaire at the time of your annual update could subject your firm to membership withdrawal.
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