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NFA Directories

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.

  • Pending status indicates the firm is an applicant for CFTC registration.
  • Provisional registration is granted to swap dealer and major swap participant applicants who have completed all registration filings and have filed documentation that demonstrates compliance, including the ability to comply, with the applicable Section 4s Implementing Regulations.
  • Registered status indicates the firm has completed all registration requirements to be designated as a full CFTC registrant.
  • Conditional registration indicates the firm's registration is contingent upon complying with specified conditions imposed in a registration action.
  • Temporary licenses allow guaranteed introducing broker applicants to conduct business in the registration capacity while NFA is conducting the required background checks.

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):

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

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). 

Directory of CFTC Registrants and NFA Members

Specific registration categories are further divided into separate directories listed below.

Commodity Pool Operator (CPO) Directory

Commodity Trading Advisory (CTA) Directory

CPO and CTA Directory

Futures Commission Merchant (FCM), Retail Foreign Exchange Dealer (RFED), and Forex Dealer Member (FDM) Directory

Introducing Broker (IB) with FCM or RFED guarantor, Independent IB Directory - Also contains the guarantor firm's NFA ID and name.

Swap Dealer (SD) and Major Swap Participant (MSP) Directory

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 information@nfa.futures.org.

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NFA Members can file many of their required documents electronically.

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Check Broker / Firm Information (BASIC)

You can check the registration status and disciplinary history of any futures firm or individual.

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