Forex Dealer Member (FDM) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a forex dealer member's (FDM) regulatory obligations.
- Annual FDM Requirements
- Books and Records
- Business Continuity and Disaster Recovery
- Cybersecurity
- Enhanced Supervisory Requirements
- Filing Requirements
- Sales Practice and Promotional Material
- Security Futures Products
- Self-Examination Questionnaire
- Supervision
- Third-Party Service Providers
In addition to the regulatory requirements listed above, here is some helpful information for FDMs.
If you are a new Member, review the New Member Orientation section of the website.
New Member Orientation
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.