Regulatory Recordkeeping & Internal Controls: An Operational Readiness Guide

What CFTC and NFA recordkeeping rules generally require, and how to build controls that keep your records complete, accurate and ready to produce. Part of the Mac Neal LLC Resource Series.

Inside this guide:

• What CFTC Regulation 1.31 generally requires for retention and the form of records, including electronic records
• A records inventory by type, and daily, monthly and annual reconciliation routines
• Segregation of duties for small teams, approval and access controls, and audit trails
• Vendor oversight, and capital monitoring for firms with financial requirements
• A decision tree, common mistakes and when to bring in outside help
• Worksheets: a records inventory and retention map, a control matrix and a monthly close checklist

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.