Conquering Current Compliance Challenges
July 10, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
NFA EXAMS OVERVIEW
The National Futures Association (NFA) is the CFTC’s SRO. It was created in 1982 by the futures industry. It is a non-profit that’s supported by membership dues and assessment fees.
 
Although the CFTC conducts some exams, the NFA is a more robust examination authority. Like FINRA, the NFA also engages in dispute resolution and arbitration.
 
The NFA has authority to examine commodity pool operators, commodity trading advisors, forex pool operators, introducing brokers, swap dealers and major swap participants.
 
Federal law requires affected firms to become NFA members. More than 4,100 firms and 57,000 associates were members in 2015.
 

Still have questions? Click here to share your questions with our editors.

© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US