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Resources for Investors

NFA history
How NFA fights fraud and abuse
Customer protection initiatives
Dispute resolution
Resources for investors

Resources for investors

Investor protection begins with investor education. From its inception, NFA has provided investors with the tools they need to make informed financial decisions. NFA has developed several publications that discuss a variety of finance-related topics. All of the publications are available on NFA's website and through NFA's Information Center.

One of the most important resources NFA offers investors is the Background Affiliation Status Information Center (BASIC), a free service that can be accessed through NFA's website. BASIC contains registration information concerning all current and former CFTC registrants. BASIC also provides information concerning disciplinary actions taken by NFA, the CFTC and all U.S. futures exchanges. In addition, BASIC contains financial information on all FCMs, including each firm's net capital and the amount of funds held in customer segregated and secured accounts.

NFA also publishes a quarterly investor newsletter, distributed electronically to more than 4,000 subscribers, and periodically attends investor-oriented tradeshows.

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 derivatives firm or individual.

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NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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