NFA | Notice: I-11-07

Recent Changes to NFA’s Self-Examination Questionnaire and Interpretive Notice 9020 entitled Compliance Rules 2-9, 2-36 and 2-39: Self-Audit Questionnaires April 12, 2011 NFA requires all Members to review the Self-Examination Questionnaire on a yearly basis in order to help Members identify and correct any supervisory deficiencies. As originally drafted, the Questionnaire contained a general section…...

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