Background Affiliation Status Information Center (BASIC)

Get important background information about firms and industry professionals in the derivatives industry. Whether you are an investor thinking about opening an account or an NFA Member contemplating a new business relationship, BASIC can be a valuable resource for you.

In BASIC, you will find:
  • Current and historical CFTC registration and NFA membership information
  • Financial information for futures commission merchants
  • Regulatory and non-regulatory actions contributed by NFA, the CFTC and the U.S. futures exchanges and swap execution facilities
  • Business address
  • Listed principals of the firm
  • Former and "doing business as" names
  • Exemptions and No-Action Letters

  • NFA Bylaw 1101 requires NFA Members to conduct business with only those firms and individuals that are registered with the CFTC and NFA Members, unless they qualify for specific CFTC exemptions. Please be advised that some claims for relief under No-Action letters will not appear in BASIC immediately. If you are doing business with an entity claiming relief under a No-Action letter, you should request a copy of the letter for your records.

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