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June 02, 2020
Recent changes to NFA's Self-Examination Questionnaire
On an annual basis, NFA Member FCMs, RFEDs, IBs, CPOs and CTAs must review their operations using NFA's Self-Examination Questionnaire (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.
NFA recently revised the Questionnaire to reflect rule amendments that became effective over the past year. The Questionnaire now reflects, among other minor changes, recent amendments to:
Interpretive Notice 9019—Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs (effective January 1, 2020);
Compliance Rules 2-29 and 2-36 and related Interpretive Notices regarding communications with the public and promotional material (effective January 1, 2020); and
Given that a number of Members may be currently operating with limited resources, NFA developed Self-Examination Questionnaire Revision Notes, a comprehensive document that specifies the recent changes to the Questionnaire.
The latest Questionnaire, dated June 2020, is available on NFA's website. Members must review the entire Questionnaire on an annual basis and should use this version when completing their next annual review.
If you have any questions on this Notice, please contact Valerie O'Malley, Director, Compliance (email@example.com).