Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA has seen a dramatic increase. With this increase came a renewed commitment by regulators to not only audit new NFA Members within the first year, but more frequently thereafter as well. The frequency of subsequent on site audits depends upon an...
NFA Compliance – Preparing for an NFA Exam
- Post published:October 28, 2015
- Post category:Compliance / Legal