Supervision
  Click on the slide presentation below to access the slides. The supporting text and materials are to the right of the slides.

Text of Speech by Steve Andrews, Associate Director, Compliance, NFA

Supporting Materials

  • Case Study
  • Interpretive Notice: NFA Compliance Rule 2-9. Supervision of Branch Offices and Guaranteed IBs
  • Interpretive Notice: NFA Compliance Rule 2-9. Supervisory Procedures for E-Mail and the Use of Web Sites
  • NASD Notice to Members 99-45: NASD Provides Guidance on Supervisory Responsibilities
  • Go back to agenda

     
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