NFA, CFTC and Regulatory Registration Services

Our experience working in the Compliance Department at the National Futures Association (NFA) has allowed us to provide firms with all of the tools to meet their CFTC, NFA, and PCAOB compliance and accounting responsibilities. For over 28 years, we have assisted firms with services such as coordinating and expediting NFA registrations to completion of annual tax returns. We pride ourselves on staying current on all of the latest accounting, audit, tax, and compliance changes that affect your registration. In fact we are often asked to serve on educational panels as experts in the futures industry.

Registration services include:

• Annual Certified Audits
• NFA Registration Audits
NFA Registration and Compliance Consulting
• Operating Procedures Manual (AML, Disaster Recovery, Operating Procedures, Ethics, Privacy Policy, Branch Office Procedures et. al)
• Annual Independent Anti-Money Laundering Reviews
• 1-FR review and assistance
• Quickbooks Implementation & Training
Tax Preparation
• Mock NFA Compliance Audits & Preparation
Regulatory Filings and Exemption Consulting
• Automated Order Routing Systems Review
• Financial Expert/Witness Testimony


Contact Michael Coglianese CPA