Member Education & Resources
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Type | Title | Year | Topic | Category | Summary |
|---|---|---|---|---|---|
| Webinar | 2025 Member Regulatory Workshops | 2025 | SD, IB, FDM, CTA, CPO, FCM | NFA held Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED) introducing broker (IB) Members and swap dealers (SD) on March 5, March 18 and 19. | |
| PDF Document | A Guide to Communications with the Public and Promotional Material | 2024 | Sales Practices and Promotional Material | CPO, FCM, IB, CTA, FDM | This guide presents an in-depth discussion of the standards that NFA Members must apply to their advertising. |
| Webinar | 2024 Town Hall Webinar | 2024 | FDM, CTA, SD, CPO, FCM, IB | To provide Members with an opportunity to ask questions of NFA's leadership, NFA held its eighth annual Town Hall webinar on Wednesday, October 23, 2024. | |
| Workshop | 2024 Member Regulatory Workshops | 2024 | FCM, CTA, CPO, SD, IB, FDM | NFA held Member Regulatory Workshops for commodity pool operator (CPO), commodity trading advisor (CTA), futures commission merchant (FCM), retail forex exchange dealer (RFED), introducing broker (IB) and swap dealers Members on April 9, April 11, and April 17. | |
| PDF Document | FCM Assessment Fee Summary Report | 2024 | FCM | FCMs use this form to report their month ending assessment fees. Note, this form can be filled and printed. To view the fillable fields, you must download or save (right-click and "Save") the form to your desktop, and open in an appropriate PDF viewer. | |
| HTM Document | 2024 SIDR Statement Due Dates | 2024 | FCM | Details on SIDR Statement reporting due dates. | |
| HTM Document | 2024 1/FR and FOCUS Monthly Financial Report Due Dates | 2024 | FCM, FDM | Details on monthly financial reporting due dates. | |
| HTM Document | 2024 Risk Data and Margin Monitoring Filing Due Dates for Swap Dealers | 2024 | SD | Details on risk data and margin monitoring filing due dates for SDs. | |
| HTM Document | 2024 Daily Financial Statement Holiday Filing Requirements | 2024 | FDM, FCM | Details on daily financial statement holiday filing requirements. | |
| HTM Document | 2024 Holiday Filing Requirements for Swap Dealers | 2024 | SD | Details on holiday filing requirements for SDs. |