NFA's Role in the U.S. Futures Industry
How NFA Fights Fraud and Abuse
Resources for Investors
Making Self-Regulation Work
Meeting the Regulatory Needs of an Evolving Industry
In 1974 Congress established the Commodity Futures Trading Commission (CFTC), a federal regulatory agency with jurisdiction over futures trading. The same legislation authorized the creation of "registered futures associations," giving the futures industry the opportunity to create a nationwide self-regulatory organization.
The CFTC provides government oversight for the entire industry. Each U.S. futures exchange operates as a self-regulatory organization, governing its floor brokers, traders and member firms. NFA regulates every firm or individual who conducts futures trading business with public customers. Although the various regulatory organizations in the futures industry have their own specific areas of authority, together they form a regulatory partnership that oversees all industry participants.
You can file a complaint online. Be sure to include as much information as you can.
You can check the registration status and disciplinary history of any futures firm or individual.
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