Hardin Compliance Consulting can assist with your CFTC registration and NFA membership!

Our compliance experts help firms that operate commodity pools or trade futures contracts, options on futures, or swaps, register with CFTC and become NFA members.

Our experienced staff can walk your firm through the process confidently and quickly.

Our registration services include:

  • Registration of Commodity Pool Operators
  • Registration of Commodity Trading Advisors
  • Registration of Principals and Associated Persons
  • Exemption Filings

In addition, Hardin Compliance Consulting will work directly with your firm to create a customized NFA/CFTC Compliance Navigator® Program. The Compliance Navigator® program will address regulatory compliance aspects of the NFA and CFTC requirements, as well as industry best practices, pursuant to your responsibilities as a Commodity Pool Operator and/or Commodity Trading Advisor.

Our ongoing services include:

  • A Customized Calendar of NFA and CFTC Testing and Filings Requirements
  • Consulting Regarding Testing and Filings Requirements
  • Annual Registration and Annual Questionnaire Filings
  • Annual Report Filings
  • Assistance Completing the Annual Self-Examination Questionnaire
  • Drafting a Risk Assessment
  • Drafting Policies and Procedures
  • Ongoing Distribution of Regulatory Updates
  • Exemption Filings