NFA Today
NFA announces registration/compliance workshops for currently unregistered forex IBs, CPOs and CTAs
Registration Overview for Retail Foreign Exchange Dealers and Forex IB, CTA and CPO Applicants (updated September 2010)
Notices to Members I-10-17
NFA to begin accepting registration applications from forex firms and individuals on September 2
Notices to Members I-10-16
Board and Nominating Committee Members Whose Terms Will Expire at the 2011 Annual Election
Rule Submission Letters
National Futures Association: Assessment of Trades on Foreign Exchanges - Proposed Amendments to NFA Bylaw 1301
Rule Submission Letters
National Futures Association: Cleared OTC Derivatives - Proposed Amendments to NFA Financial Requirements Section 4
News Releases
NFA takes emergency enforcement action against Spirit Investments, Inc. and its principal, Scott A. Bottolfson
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Information for NFA Members
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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Forex Registration
The Commodity Futures Trading Commission (CFTC) has issued final forex rules which become effective on October 18, 2010. Any firm acting as a counterparty to certain retail off-exchange forex transactions is required to register as a Retail Foreign Exchange Dealer (RFED). (Futures Commission Merchants offering forex transactions to its retail customers but acting primarily or substantially as a traditional FCM are exempt from registering as an RFED but must be approved as a Forex Firm and designated as a Forex Dealer Member of NFA.) In addition, any individual acting as a forex solicitor, account manager and/or pool operator is required to register with the CFTC as Introducing Brokers (IBs), Commodity Trading Advisors (CTAs) or Commodity Pool Operators (CPOs) and become Members of National Futures Association. National Futures Association (NFA) has prepared this brief summary of the forex registration requirements to give firm and individual applicants a basic understanding of the registration process.
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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.
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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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