NFA Provides Information to Assist Members in Meeting Their Regulatory Obligations
On February 10, the National Futures Association (NFA) issued a series of Notices to Members containing an overview of the educational resources available to Members in different registration categories to assist them in meeting their regulatory obligations, identifying common deficiencies noted during NFA examinations and providing links to other Notices regarding recent amendments to NFA Rules and Interpretive Notices applicable to certain Members.
The Notice regarding commodity pool operators and commodity trading advisors is available here.
The Notice regarding swap-dealers is available here.
The Notice regarding futures commission merchants, forex dealer members and introducing brokers is available here.