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
Investor protection begins with investor education. From its inception, NFA has committed resources to provide investors with the tools they need to make informed financial decisions. We have developed several publications that discuss a variety of futures-related topics. All of the publications are available on NFA's Web site (www.nfa.futures.org) and through NFA's Information Center (800-621-3570).
In 1991, NFA created the nation's first clearinghouse of disciplinary information about futures firms and salespeople. This clearinghouse allowed investors and others for the first time to get a "one-stop" background check from government and self-regulatory sources about the disciplinary history and other background of 150,000 individuals and 10,000 firms that either are now or have been involved in the futures industry.
NFA moved its extensive database of information online in 1998 when we introduced the Background Affiliation Status Information Center (BASIC). BASIC, which can be accessed through our Web site, contains current and historical registration information concerning all current and former CFTC registrants. It also provides information concerning disciplinary actions taken by NFA, the CFTC and all the U.S. futures exchanges. Investors and other industry participants conduct more than 600,000 BASIC searches every year.
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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