self-examination questionnaire

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.
Continue Reading NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers

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