Category: Best of the Web

Common NFA Registration Deficiencies

Member Advisory
May 6, 2005

Common Registration Deficiencies

Over the past few years, NFA has noted during examinations of Member firms some recurring registration deficiencies. These deficiencies appear unintentional for the most part and relate to the following areas-the reporting of principals, reporting terminations of associated persons and principals, and the failure to update the Member’s registration records due to changes in the firm’s operations. NFA is providing the following guidance to help its Members avoid those types of registration deficiencies in the future…

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