2025 Member Regulatory Workshop
NFA held Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), and introducing broker (IB) in Chicago, March 5th and New York, March 18th; and swap dealers (SD) Members in New York, March 19th.
NFA staff discussed a variety of topics, including common exam findings, preparing for an NFA exam, supervision and interpretive notices, among other topics.