Registering your firm as a CPO or CTA can be a complex and time-consuming process. Delays in approval occur if inadequate or inaccurate information is submitted. Our experienced professionals will prepare your application, working closely with you and the NFA to ensure the successful and timely registration of your firm and its principals.
Customized Compliance Manual
Customization of your firm's written compliance policies and procedures manual goes well beyond inserting your firm's name into pre-written text. Regulatory Compliance will prepare a written compliance policies and procedures manual that meets CFTC and NFA regulatory requirements and addresses the conflicts and risks specific to your firm's operations.
Examinations and Testing
Discover if you have compliance issues before an NFA examiner arrives. Our compliance experts conduct thorough exams and testing to uncover potential problems, so your firm can resolve issues before a regulatory examination.
NFA Mock Exams
Annual Self -Exams
NFA audit support
Comprehensive Compliance Consulting
| NFA Compliance manual || Compliance Training, including ethics|
| Compliance consulting || Firm and Principal Registrations|
| Risk assessment || Annual Report Reviews|
| Mock NFA Exam || Quarterly Report Preparation & Filing|
| Advertising review || NFA Exam Support|
| NFA Self-Exam || Form CPO-PQR and CTA-PR filing|
| Customized compliance calendar|
For more information on CFTC-NFA registration and compliance, please email
To learn more about any of our compliance services, click here or call toll-free (888) Reg-Comp (888) 734-2667.