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NFA Self-Examination Questionnaire

Book Publication Date: Jan 2014
Description: Members of the National Futures Association (NFA) are under a continuing obligation to monitor the activities of their employees. This self-examination questionnaire allows members to determine if they are in compliance with the NFA's rules.
Type: Questionnaires
PLI Item #: 132135
Practice Area: Corporate law, Enforcement (Securities and other financial products), Hedge funds, Investment fund management, Regulation and compliance (Corporate law), Regulation and compliance (Securities and other financial products), Securities and other financial products

Keywords: "NFA"; "National Futures Association"; "self-examination"; "FCM"; "FDM"; "IB"; "CPO"; "CTA"; "CFTC"; "foreign exchange"; "forex"; "retail forex"

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