IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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.
 

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