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NFA Updates Self-Examination Questionnaire

The NFA updated its Self-Examination Questionnaire for Futures Commission Merchants, Forex Dealer Members, Investment Bankers, Commodity Pool Operators and Commodity Trading Advisors. The updates incorporate certain amendments to NFA Compliance Rule 2-36 regarding the disclosure of transaction data to customers of forex transactions.

Primary Sources

  1. NFA-Updated Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs
  2. Individual Sections of Updated Self-Examination Questionnaire

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Tags

Regulated Activities
Supervision / Compliance
Sub-Activity
NFA Self- Examination and Other Questionnaires
Regulated Entities
Adviser / CTA / CPO FCMs and IBs, Floor Brokers
Regulated Products
Futures / Security Futures
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
NFA