On March 24, the National Futures Association (NFA) issued Notice I-21-13 to advise member firms that the Interpretive Notice entitled, “NFA Compliance Rules 2-9 and 2-36: Members’ Use of Third-Party Service Providers” (Interpretive Notice) will become effective September 30.
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self-examination questionnaire
NFA Issues Notice to Members on Recent changes to Self-Examination Questionnaire
By Kevin M. Foley & Jack A. West on
Posted in CFTC
On June 2, the National Futures Association (NFA) issued Notice I-20-22 identifying recent rule amendments that are now reflected in NFA’s Self-Examination Questionnaire.
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NFA Updates Self-Examination Questionnaire
By Kevin M. Foley & Stanley V. Polit on
Posted in CFTC
On August 15, National Futures Association issued a series of updates to its Self-Examination Questionnaire, which all NFA members must complete annually. The revised questionnaire adds a section to the Supplemental Questionnaire for introducing brokers on Forex Electronic Trading Systems and provides additional technical clarifications under the financial section of the Supplemental Questionnaire for commodity…