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June 4, 2013

NFA makes directories available free of charge

As an added benefit to Members and the public, effective today, NFA is making its directories of specific Commodity Futures Trading Commission (CFTC) registration categories and NFA Members available for download on its website free of charge.

Since the late 1980s, these directories have been available upon request for a fee, but NFA saw an opportunity to help both its Members and investors by making this information easily accessible and at no cost.

Earlier this year, NFA published a consolidated registry of swap dealers (SD) and major swap participants (MSP) on its website for free because the SD/MSP community requires this information in order to determine which party needs to report swaps transactions. During this process, NFA recognized that it would be advantageous to Members in other registration categories and the public if it made its directories available for download at no cost, and resolved at that time to make the necessary enhancements to its website in order to do so.

The following directories will be available for download on NFA's website:

  • All CFTC registrants and NFA Members
  • Commodity pool operators (CPO)
  • Commodity trading advisors (CTA)
  • CPOs and CTAs
  • Futures commission merchants (FCM), retail foreign exchange dealers (RFED) and forex dealer members
  • Introducing brokers
  • SDs and MSPs

Along with the firm's registration status and whether the firm has a forex firm, forex dealer member and/or swap firm designation, the directories will contain the following public information:

  • Each firm's NFA ID number;
  • Each firm's name;
  • Each firm's city, state, province (if applicable) and country.

Making these directories available free of charge is expected to benefit Members who use the directories as a networking tool, and investors who use them to find a specific firm or to help them in their due diligence.

All directories will be updated daily by 5:00 a.m. (CST), and will reflect the information above as of the previous business day. The directories can be opened by a variety of applications; however, we recommend using Microsoft Excel or a similar program to view or save the directories.

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