Electronic Filing Systems Members should use the systems listed below to meet their regulatory filings requirements. To use NFA's filing systems, firms will need to designate a security manager. To ensure Members are able to access the systems, visit the system requirements page.
NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs.
About NFA NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.
BASIC is a free tool that NFA Members and investors can use to research the background of derivatives industry professionals. Whether you are an investor thinking about opening a futures account or an NFA Member contemplating a new business relationship, BASIC can be a valuable resource. To learn more about the derivatives industry, visit FuturesFundamentals.org, a one-stop educational ...
NFA develops and enforces rules, provides programs and offers services that safeguard market integrity, and helps Members meet their regulatory obligations. Select a membership category to access regulatory information and resources.
Registration and Membership The Commodity Exchange Act (CEA) requires certain firms and individuals that conduct business in the derivatives industry to register with the CFTC. CFTC regulations also require, with few exceptions, CFTC registered firms to be NFA Members. The CFTC has delegated registration responsibility to NFA.
Who Has to Register The Commodity Exchange Act (CEA) requires certain firms and individuals that conduct business in the derivatives industry to register with the CFTC. CFTC regulations also require, with few exceptions, CFTC registered firms to be NFA Members. The CFTC has delegated registration responsibility to NFA.
Electronic Filing Systems NFA Rulebook Online Registration System File a Complaint About News & Notices Members Registration Investors Careers