NFA Amends Self-Examination Questionnaire

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The National Futures Association (NFA) has amended the Self-Examination Questionnaire required to be reviewed annually by NFA members in order to identify and correct any supervisory deficiencies. Specifically, NFA has added a section to the Questionnaire for Forex Dealer Members (FDMs), updated other sections of the Questionnaire to assist non-FDM members in reviewing their forex operations, and made general updates to the Questionnaire.

In connection with the amendments to the Questionnaire, NFA has amended the related Interpretive Notice 9020 to require FDMs to complete the Questionnaire and to require non-FDM members who engage in forex transactions to use the Questionnaire to review their forex operations.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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