Ask NFA – August 2017

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. “Ask the NFA,” is the way you can ask questions about those regulations and compliance requirements without having to call NFA directly. Just email us at [email protected] and we will get the answers for you. Please keep in mind the purpose of this contact is to keep the lines of communication between the NFA and NIBA members.

This month’s questions were selected from those submitted by NIBA members. The answers were supplied by NFA staff.


Q: How do I find information for IBs on NFA’s website?

A: NFA launched its redesigned website in late June 2017. The redesign project was driven by Member feedback, analysis of usage patterns and benchmarking, with the primary goals of providing better navigation and improving user experience.

As part of NFA’s website redesign, NFA created a landing page targeted to each membership category. The introducing broker (IB) section of the website includes, among other information:

  • A carousel featuring the latest IB news, such as Notices to Members, Rule Submission Letters, and educational opportunities;
  • Links to access IB-specific Notices to Members and education and training materials;
  • An outline of IB regulatory obligations;
  • Electronic filing systems for IBs;
  • Requirements for guaranteed and independent IBs; and
  • Information on IB examinations.

To access NFA’s IB website content, click Member from the header of any page of NFA’s website, then click on introducing broker. This section of the website will be updated regularly with the latest information for IBs. For details on other new website features, view the NFA’s June 27th website launch webinar.

If you have questions or feedback regarding NFA’s new website, please contact NFA’s Information Center ([email protected] or 312-781-1410).