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Past Workshop and Meeting Archive
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Promotional Material and Compliance Issues for Small Firms Workshops
On May 19, 2008, NFA hosted two half-day workshops: the Promotional Material workshop and the Compliance Issues for Small Firms workshop.
The Promotional Material workshop covered all aspects of promotional material rules and regulations. The Compliance Issues for Small Firms workshop
addressed small firm regulatory issues and compliance practices. To request a free audio CD of both workshops, including copies of all workshop materials in a PDF format, simply email NFA's Information Center (information@nfa.futures.org).
Be sure to include your mailing address.
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Issues and Answers Meeting
On October 15, 2007, NFA hosted an Issues and Answers meeting for NFA Members. During the meeting, NFA President Dan Roth,
Vice President of Compliance Regina Thoele and other senior staff members discussed current events that impacted NFA, its Members and
the futures industry. To listen to the audio recordings from the meeting, click on the links below:
Introductory Remarks (Duration: 10 mins)
Panelists: Larry Dyekman (Director, Communications & Education)
Dan Roth (President & CEO)
Compliance Issues (Duration: 24 mins)
Panelist: Regina Thoele (Vice President, Compliance)
Current and Pending Rule Amendments Part I (Duration: 10 mins)
Panelist: Patricia Cushing, Associate Director, Compliance
Current and Pending Rule Amendments Part II (Duration: 20 mins)
Panelist: Christine Roche, Manager, Investigations
Forex Issues (Duration: 26 mins)
Panelist: Sharon Pendleton, Director, Compliance
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The Do's and Don'ts of Promotional Material
On July 26, 2007 NFA hosted a one-hour Web seminar entitled, "The Do's and Don'ts of Promotional Material". During the Web seminar, NFA specialists in promotional material review gave an
overview of NFA Compliance Rule 2-29: "Communication with the Public and Promotional Material". NFA specialists walked through the restrictions and responsibilities outlined in each section of the
rule and discussed areas where they see the most deficiencies. The Web seminar also addressed supervisory requirements for Members, including supervision of electronic communications, and described NFA's pre-review program.
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Link to Web Seminar
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CPO/CTA Workshop - Chicago
On May 3, 2007 NFA conducted its second CPO/CTA workshop in Chicago, Illinois. The workshop consisted of six sessions, covering all aspects of CPO and CTA operations. In addition, CFTC Commissioner Walt Lukken gave the keynote address. Audio recordings of all sessions are available on CD free of charge. To request a CD, simply e-mail NFA's Information Center at information@nfa.futures.org. Be sure to include your mailing address. |
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How to File Part 4 Exemptions Using NFA's New Web-based Electronic System
On February 15, 2007 NFA hosted a one-hour Web-seminar entitled, "How to File Part 4 Exemptions Using NFA's New Web-based Electronic System". The CFTC amended its rules to require CPOs, CTAs and non-registrants to file their Part 4 exemptions with NFA electronically.
The Web seminar walks through the process of filing an exemption using the new system, including an overview of the exemptions available
and how to manage exemption filings. |
Link to Web Seminar
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Arbitrator Training Web Seminar
On November 1, 2006 NFA hosted an Arbitrator Training Web Seminar. NFA's Arbitration staff discussed a number of arbitrator-related issues including pre-hearing conferences,
conflicts of interests, and recent changes and additions to NFA's Code of Arbitration and Member Rules. As you may know, NFA arbitrators must participate in an arbitration-related
training program every three years. If you were unable to view the seminar live, please note that viewing the archived seminar will also satisfy your mandatory training requirement.
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Link to Web Seminar
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CPO/CTA Workshop - New York
On October 24, 2006 NFA conducted a CPO/CTA workshop in New York City. The workshop consisted of four sessions, covering all aspects of CPO and CTA operations, from registration to soliciting clients
to filing financial statements and preparing for an NFA audit. In addition, CFTC Commissioner Walt Lukken gave the keynote address. Audio recordings of all the sessions are available on CD free of charge.
To request a CD, simply e-mail NFA's Information Center at information@nfa.futures.org. Be sure to include your mailing address.
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Anti-Money Laundering Web Seminar
On September 28, 2006 NFA conducted a one-hour Web seminar entitled, "Anti-Money Laundering". NFA's Compliance and Legal staff discussed anti-money laundering requirements for FCMs and IBs, focusing on Customer Identification Programs, Suspicious Activity Reporting and information sharing requirements. The Web seminar also addressed common AML audit deficiencies and how to correct them. The program concluded with a question and answer session. Please note that this web-based seminar does not satisfy a firm's AML training requirement.
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Link to Web Seminar
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How to File Pool Financial Statements Using NFA's EasyFile System
On March 14, 2006 NFA conducted a one-hour Web seminar entitled, "How to File Pool Financial Statements Using NFA's EasyFile System." The Web seminar walks CPOs through the process of filing a pool financial statement using EasyFile, focusing on the financial balances that CPOs must enter into the Web-based system.
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Link to Web Seminar
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NFA Web Seminar on Preparing for an NFA Audit
On January 31, 2006 NFA conducted a one-hour Web seminar entitled, "Preparing for an NFA Audit." During the seminar NFA staff gave an overview of the audit process, shared some tips on how to prepare for an audit and discussed some of the most common deficiencies found by NFA auditors.
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Link to Web Seminar
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NFA Web Seminar on ORS and EasyFile
On November 1, 2005 NFA conducted a Web seminar entitled, "Fulfilling Your Regulatory Responsibilities More Efficiently with NFA's Online Registration System, EasyFile and Other Electronic Filing Systems." During the seminar NFA staff discussed common registration errors and how they can be avoided, and gave a demonstration of filing a pool financial statement through EasyFile.
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Link to Web Seminar
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NFA Brown Bag Lunch at the 2004 FIA Expo
An audio file of NFA staff discussing various compliance and regulatory topics. To listen, click on the link below, scroll down to the bottom of the page, find the session entitled "Expo U: NFA Brown Bag Lunch" and click on the "Listen Now" button. You need Real Media Player to listen to the audio file.
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Link to audio file
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