The NFA updated its Self-Examination Questionnaire. The questionnaire is designed to help NFA member futures commission merchants, Forex dealer members, introducing brokers ("IBs"), commodity pool operators ("CPOs") and commodity trading advisors satisfy their annual supervisory responsibilities under NFA Rules 2-9, 2-36 and 2-39.
The NFA's updates to the questionnaire include: (i) adding a Forex Electronic Trading Systems section to the Supplemental Questionnaire for IBs, and (ii) adding technical clarifications in the financial section of the Supplemental Questionnaire for CPOs.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.
