Comprehensive NFA Compliance Services


NFA PartnerProgram Provides Ongoing Compliance Support

For NFA Members interested in ongoing compliance support, Regulatory Compliance offers a compliance program to ensure that the firm stays on track with existing compliance requirements and new regulations.

NFA Partner


Includes all essential compliance services for NFA members including a custom compliance manual, Disclosure Document, quarterly and annual filings, and compliance and ethics training.

Disclosure Document Preparation and Filing

CPOs and CTAs must file with the NFA and distribute to investors a "Disclosure Document." Regulatory Compliance will prepare and file the firm's Disclosure Document ensuring compliance with the CFTC's extensive disclosure obligations.

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NFA Registration

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.