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International Outreach Programs

A vibrant financial derivatives sector is vital to a healthy economy, and an effective regulatory scheme is vital to developing a vibrant financial derivatives sector. NFA's established record of accomplishment in providing efficient, cost-effective regulatory services to the U.S. derivatives markets has led regulatory organizations and exchanges from developing economies around the world to ask us to teach their staff about our regulatory processes. Our international training programs incorporate the principles of effective securities regulation adopted by the International Organization of Securities Commissions (IOSCO)


NFA's Training Programs for International Markets and Regulatory Authorities
Planning a Visit to Chicago
NFA's International Regulators' Alert System
International Websites of Interest


NFA's Training Programs for International Markets and Regulatory Authorities

NFA offers its training on a contract basis, and we can adapt our materials to meet the needs of any organization. Here are topics that we have taught to regulatory agencies in the past:

  • Functions and Uses of Futures Markets
  • Principles of Futures Regulation
  • The Disciplinary Process
  • Risk-Based Auditing
  • Financial Safeguards
  • Ex-Pit Traders
  • Managed Futures Regulatory Programs
  • Margins
  • Sales Practices and Advertising
  • Routine Inquiries
  • Forex
  • Market and Trade Practice Surveillance
  • NFA's Restitution System
  • Anti-Money Laundering
  • Registration and Fitness
  • Business Continuity/Disaster Recovery
  • Security Futures Products
  • Electronic Order Routing Issues
  • Dispute Resolution

Our clients have included regulatory organizations and exchanges from Singapore, China, India, Korea and Taiwan.

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Planning a Visit to Chicago

A visit to NFA is a must for any regulatory or exchange official looking to learn more about the role of regulation in creating a vibrant derivatives market. Organizations looking to learn about this role in depth may be interested in our training programs for international regulators. However, many other organizations include a stop to NFA as part of a larger tour. If you are interested in arranging a visit, please contact NFA's Information Center by email at information@nfa.futures.org, by telephone at 1-312-781-1410 or from within North America at 1-800-621-3570. Representatives are available weekdays from 8:00 a.m. to 5:00 p.m. (CST).

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NFA's International Regulators' Alert System

The International Regulators' Alert System was developed by NFA in collaboration with the Commodity Futures Trading Commission (CFTC) to provide a mechanism for sharing publicly available regulatory information. The system provides data stored in NFA's Background Affiliation Status Information Center (BASIC). BASIC contains CFTC registration, NFA membership information and futures-related regulatory and non-regulatory actions contributed by NFA, the CFTC and U.S. futures exchanges.

If you sign up for the International Regulators' Alert System, you will receive ongoing alert email messages that include information on regulatory actions against the firm(s) and/or principal(s) you sign up for, any significant ownership changes, and any changes in a firm's NFA membership status.

For more information regarding the International Regulators' Alert System, contact NFA's Information Center.

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International Websites of Interest  

Commodity Futures Trading Commission (CFTC)
Financial Services Volunteer Corp.
International Organization of Securities Commissions (IOSCO)
World Bank
World Federation of Exchanges

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File a Complaint

You can file a complaint online. Be sure to include as much information as you can.

File a Complaint

Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

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