Security Futures Products: A Regulatory Guide - National Futures ...

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Copyright 2003 by <strong>National</strong> <strong>Futures</strong> Association

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Copyright 2003 by <strong>National</strong> <strong>Futures</strong> Association

Page 1 and 2: N A T I O N A L F U T U R E S A S S
Page 3 and 4: Introduction The Commodity Futures
Page 5 and 6: Registration and Proficiency Requir
Page 7 and 8: Again, you may use the Web-based pr
Page 9 and 10: Customer Account Information Althou
Page 11 and 12: a commodity pool operator exempt fr
Page 13 and 14: Account Approval • A DSFP must ap
Page 15 and 16: Promotional Material General Inform
Page 17 and 18: Promotional Material for a Mass Aud
Page 19 and 20: NFA recognizes that speed of execut
Page 21 and 22: Insider Trading Some types of insid
Page 23 and 24: Appendix 1: Selected Listing of NFA
Page 25 and 26: Appendix 2: Sources of Additional I
Page 27 and 28: to the advisors for these funds. Th
Page 29 and 30: Appendix 5: Guidance on Procedures
Page 31: • Direct compliance personnel to