Regulation NN Policy

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
Structure of Accountability - Topic 4
Prohibited Transactions - Topic 5
Regulatory Approval and Filing Procedures - Topic 6
Application and Close-Out - Topic 7
Disclosure - Topic 8
Capital and Margin Requirements - Topic 9
Reporting to Customers - Topic 10
Unlawful Representations - Topic 11
Authorization to Trade - Topic 12
Trading and Operational Standards - Topic 13
Notice of Transfers - Topic 14
Customer Dispute Resolution - Topic 15
Reservation of Authority – Topic 16
Audit Policy - Topic 17
Staff Training - Topic 18
Retention of Documentation - Topic 19

This policy template (approximately 28 pages) is in Microsoft® Word format.

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