The compliance rule requires that member questionnaire for swap dealer-only member be reviewed and submitted by an individual who is a principal of the swap dealer.
NFA is informing members that the capability to assign enter and submit access in the ORS system is now available and to provide instructions for assigning this access.
Effectiveness
Every member must assign enter and submit access to at least 1 qualified individual.
Individuals currently designated will no longer be able to submit the questionnaire beginning on Oct. 15, 2024, unless the member completes the required steps outlined.
Regulators
NFA
Entity Types
B/D; CPO; CTA; FCM; FDM; OTC
Reference
Nt I-24-14, 8/6/2024; Citation: NFA Compliance Rule 2-52;
