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Featured Information
9/7/2012 - NFA announces registration information webinar for new swap FCMs, IBs, CPOs and CTAs
9/1/2012 - Updated NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs
8/24/2012 - Archive of "Registration and Compliance Issues for Swap Dealers and Major Swap Participants" webinar
8/16/2012 - Archive of "Regulatory Requirements for Previously Exempt Commodity Pools" webinar
8/2/2012 - CPO Workshops - London, New York, Chicago and San Francisco
Notice to Members
9/14/2012 - NFA's BASIC System - Public Display of FCM Financial Information9/14/2012 - Chief Compliance Officer Requirements Become Effective for Certain FCMs on October 1, 2012
News Releases
8/16/2012 - NFA's Board of Directors approves rule to enhance the customer segregated funds protection regimeEnforcement and Registration Actions
9/13/2012 - Option Investments Inc. (Jacob J. Gullick)9/13/2012 - Global Leverage Inc. and Toney B. Eggleston
9/12/2012 - Vincent Capital Group LLC and Ryan Litfin
8/28/2012 - Institutional Liquidity LLC
Rule Submission Letters
8/27/2012 - National Futures Association: FCM and IB Anti-Money Laundering Program - Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9More NFA Today...
Broker / Firm Information (BASIC)
Using NFA's Background Affiliation Status Information Center (BASIC), you can check the registration status and disciplinary history of any firm or individual that conducts business on the U.S. futures exchanges on behalf of the investing public.
Online Registration System (ORS)
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Swaps Information
Registration Information for Swap Dealers and Major Swap Participants Registration Information for Swap FCMs, IBs, CPOs, and CTAs Do's and Don'ts of Answering the Disciplinary Information Questions Requests for Confidential Treatment of the Section 4s Implementing Regulations Submissions
Information for DCMs and SEFs
NFA offers regulatory services to help designated contract markets and swap execution facilities meet their compliance and regulatory responsibilities.
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News Center
NFA’s News Center provides access to news releases, Notices to Members, rule submissions, enforcement actions and other current information.
Video Library
NFA’s Video Library contains video tutorials on a variety of registration and compliance-related topics.
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NFA is constantly striving to improve its regulatory programs and services. If you have a question or comment about your experiences dealing with NFA, we want to hear them (the good and the bad). We welcome your feedback.
Don't Become a Victim of Investment Fraud
In this webcast, NFA President and CEO Dan Roth discusses different types of investment scams including Ponzi schemes and affinity fraud and what investors can do to help protect themselves from investment fraud.
Regulation. Redefined.
Investor confidence is crucial to the success of the futures markets, and the best way to gain investor confidence is to ensure that the highest levels of integrity are demanded of all market participants and intermediaries. National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. futures industry. NFA strives every day to safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities.
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