NFA makes available free of charge several directories of CFTC Registrants and NFA Members.
All firms must be registered or pending registration but do not require NFA Membership status to be listed. The directories will provide the full registration categories along with a firm's registration status and whether a registrant is an approved NFA Member, Forex Firm, Forex Dealer Member and/or Swap Firm. A firm's CFTC registration status can be pending, provisionally registered, registered, conditionally registered, or temporary licensed. Pending, conditional and approved statuses also apply to membership, forex firm, forex dealer member and swap firm categories.
Along with the firm's registration status and whether the firm has forex firm, forex dealer member and/or swap firm designation, the directories below contain the following public information (unless otherwise indicated):
The directories are updated by 5:00 a.m. (CST) each morning with the updated files reflecting the information above as of the previous business day.
The directories are saved in a text comma-delimited format (.csv) and can be opened by using a wide variety of applications; however, we recommend using Microsoft Excel or a similar program to view or save the directories. Please note that each browser may respond differently depending on the browser version and your particular environment.
Please note CFTC registration or NFA Membership status does not reflect an endorsement of a firm. Investors and NFA Members are urged to do a thorough background check prior to engaging in a business relationship with a firm by visiting NFA's Background Affiliation Status Information Center (BASIC).
Specific registration categories are further divided into separate directories listed below.
Introducing Broker (IB) with FCM or RFED guarantor, Independent IB Directory - Also contains the guarantor firm's NFA ID and name.
NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your questions about the directories. Contact the Information Center by phone (312-781-1410 or 800-621-3570) or send an email to firstname.lastname@example.org.
NFA Members can file many of their required documents electronically.
You can check the registration status and disciplinary history of any derivatives firm or individual.