Presentations (2872)
NFA Arbitration Procedural Guide for Member Disputes Introduction 3 Do you need an attorney? 3 Does your case qualify for NFA arbitration? 4 Filing of the claim 5 How does the process begin? 7 Resolve your case without a hearing 14 What steps are involved in preparing your case? 16 What steps are involved in finalizing your case? 25 What happens at the hearing? 27 What...
Understanding Legal Terminology in NFA Arbitration Cases November 2003 TABLE OF CONTENTS Introduction .............................................................................................................. 1 Authority to Sue ........................................................................................................ 3 Standing...
NFA Arbitration: Resolving Customer Disputes Contents Why arbitration? 2 What does it cost to arbitrate? 4 What is NFA Arbitration? 6 Glossary of terms 17 National Futures Association (NFA) is a self-regulatory organization developed to maintain the integrity of the futures industry and to protect the public through effective and efficient self-regulation. On September 22, 1981, NFA...
NFA Arbitration: Customer Arbitration Guide Introduction 3 Is arbitration for you? 3 Do you need an attorney? 4 Does the case qualify for NFA arbitration? 4 How does the process begin? 6 Can you resolve your case without a hearing? 11 What steps are involved in preparing your case? 12 What steps are involved in finalizing your case? 18 What happens at the hearing? 19 What...
RISK DISCLOSURE STATEMENT FOR SECURITY FUTURES CONTRACTS This disclosure statement discusses the characteristics and risks of standardized security futures contracts traded on regulated U.S. exchanges. At present, regulated exchanges are authorized to list futures contracts on individual equity securities registered under the Securities Exchange Act of 1934 (including common stock and certain...
NATIONAL FUTURES ASSOCIATION® Margins Handbook Prepared by the Joint Audit Committee June 1999 Preface The Joint Audit Committee (JAC) is a representative committee of U.S. futures exchanges and regulatory organizations which participate in a joint audit and financial surveillance program that has been approved and is overseen by the Commodity Futures Trading Commission. The purpose...
September 2, 2014 Via Federal Express Mr. Christopher J. Kirkpatrick Secretary Office of the Secretariat Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, DC 20581 Re: National Futures Association: Daily Confirmation of Funds Covering Liabilities to Retail Forex Customers – NFA Financial Requirements Section 14 Regarding Assets Covering...
ABOUT NFA National Futures Association (NFA) is the industrywide self-regulatory organization for the U.S. futures industry. NFA’s mission is to provide innovative and efficient regulatory programs and services that safeguard the integrity of the derivatives markets and protect investors. NFA’s activities are overseen by the Commodity Futures Trading Commission (CFTC),...
Study Outlines for the Futures Industry Examinations National Futures Association 300 South Riverside Plaza Suite 1800 Chicago, Illinois 60606-6615 (312) 781-1410 (800) 621-3570 Website: www.nfa.futures.org e-mail: information@nfa.futures.org April 2015 INTRODUCTION The following information is intended to serve as an aid for candidates preparing for the futures industry exams. This guide...
Scams AND Swindles An Educational Guide to Avoiding Investment Fraud Scams AND Swindles An Educational Guide to Avoiding Investment Fraud “Double your money in six months with absolutely no risk!” act now “You must because this incredible opportunity won’t last long!” “We guarantee you will see big...
