Preparing for a CFTC or NFA Examination: Records, Controls & Documentation

Prepare for a CFTC or NFA examination from the examiner’s side of the table: the records, controls and documentation reviewers ask for first. Part of the Mac Neal LLC Resource Series.

Inside this guide:

• The main types of reviews, how an NFA exam unfolds and a first-48-hours decision tree
• What examiners typically request first, with a document checklist
• How to build an exam binder and test your own controls
• How to prepare staff, manage document requests and respond to findings
• Common mistakes, and when to bring in outside help
• Worksheets: an exam-readiness self-assessment, a document request tracker and a findings and corrective-action log

18-page PDF with checklists and printable worksheets. Updated October 2026.

General education, not legal advice. Mac Neal LLC provides independent financial and operational support, not legal advice. Have a question about your own situation? Book a consultation at www.macnealllc.com.