NFA Today |
10/10/2012 - Updated Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs
9/21/2012 - Archive of "Registration Information for Swap FCMs, IBs, CPOs and CTAs" webinar
10/1/2012 - NFA Financial Requirements Section 16 Reporting Requirements Guidance
10/4/2012 - Recine Trading Company and Michael G. Recine
10/1/2012 - BKT Capital Management and Basil R. Fayadh
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.
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
NFA offers regulatory services to help designated contract markets and swap execution facilities meet their compliance and regulatory responsibilities.
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NFA’s News Center provides access to news releases, Notices to Members, rule submissions, enforcement actions and other current information.
NFA’s Video Library contains video tutorials on a variety of registration and compliance-related topics.
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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.
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.