October 11, 2012 NFA: Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs Tags Regulated Activities Supervision / Compliance Sub-Activity NFA Self- Examination and Other Questionnaires Regulated Entities FCMs and IBs, Floor Brokers Adviser / CTA / CPO Body of Law CEA Regulation Jurisdiction US - Federal Organization CFTC, NFA, CFTC Markets Sub-Author NFA
Regulated Activities Supervision / Compliance Sub-Activity NFA Self- Examination and Other Questionnaires Regulated Entities FCMs and IBs, Floor Brokers Adviser / CTA / CPO Body of Law CEA Regulation Jurisdiction US - Federal Organization CFTC, NFA, CFTC Markets Sub-Author NFA