SECTION
1:
General Market Knowledge
books and records, preparation and retention
order
tickets, preparation and retention
written
option procedures
handling
of customer deposits
NFA
Compliance Rule 2-9, supervision of employees
registration
requirements - who needs to be registered, sponsor verification
NFA
Bylaw 1101, AP termination notices, temporary licenses
NFA's
disciplinary process
reportable
positions
NFA
Arbitration Rules
on-site
audits of branch offices
bona
fide hedging transactions
trading
on foreign exchanges
SECTION 2:
CPO/CTA General
registration
requirements
books
and records to be maintained
reports
to customers
block
orders and order allocation
SECTION 3:
CPO/CTA Disclosure Documents
management
and incentive fees
performance
records
how
long can a CPO or CTA use a disclosure document
conflicts
of interest
pool
units purchased by principals
business
backgrounds of principals
amendments
to disclosure documents
disclosure
of disciplinary actions
NFA,
CFTC review of document before use
SECTION 4:
NFA Know Your Customer Rule
client
information required
responsibility
to obtain additional client information
risk
disclosures
SECTION 5:
Disclosure by CPOs and CTAs Required for Costs Associated with
Futures Transactions
disclosure
of upfront fees and expenses
effect
of upfront fees and organization
expenses
on net performance
SECTION 7:
IB General
accepting
funds from customers
guarantee
agreements
responsibilities
of guarantor FCM
minimum
net capital requirements
timestamping
of order tickets
books
and records to be maintained
SECTION 8:
General Account Handling and Exchange Regulations
Risk
Disclosure Statement
margin
requirements
stop
loss orders
preparing
orders
block
orders
proprietary
accounts
position
limits and reporting requirements
trade
confirmations
SECTION 9:
Discretionary Account Regulation
requirements
relating to discretionary accounts
supervision
and review of discretionary accounts
SECTION 10:
Promotional Material (Rule 2-29)
definition
of promotional material
standardized
sales presentations
use
of a third party consulting or advertising firm
reprints
of articles from industry publications
recordkeeping
of promotional material
past
performance
hypothetical
trading results
written
procedures for promotional material
supervisory
review of promotional material
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