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For additional information and assistance, please contact NFA's Information Center at (800) 621-3570 between the hours of 8:00 AM and 5:00 PM Central Time.

• Searching by NFA ID and Finding an NFA ID
• Searching by Individual Name
• Searching by Firm Name
• Searching by Pool Name
• General Search Tips
• What Can Be Found Here
• About the Contributors
• Information on Non-Registrants


Searching by NFA ID (top)

This is one of four possible options that can be used to search the BASIC system. It is by far the most efficient and precise search option. With some exceptions, every individual or other type of entity that wishes to conduct futures-related business with customers, must apply for and obtain CFTC registration and NFA membership. In most cases, an individual or entity that has applied for CFTC registration or NFA membership, in the past 20 years, is assigned its own NFA ID. An NFA ID can have as few as one digit and up to seven digits. An NFA ID is assigned to one entity and it is not used more than once. There will be situations when a firm or individual has more than one NFA ID. For example, an individual may have two or more NFA IDs because she has an NFA ID to do business as an individual associated person and also has a second NFA ID to do business in another capacity that requires a second registration and a second NFA ID. Another example may be when a firm has an NFA ID to conduct futures business and also has a second NFA ID to be a principal of another firm. Therefore, in order to perform a thorough search, you should review all of the results associated with all of the NFA IDs for the party that you are researching.

If no information is returned, or it is not consistent with what you expected, double-check the NFA ID you entered and search again.

Finding an NFA ID

If you would like to perform a search for an individual or firm and you do not know the NFA ID, you should contact the particular firm or individual and request the party's specific NFA ID. The firm or individual should know their specific NFA ID or they should be able to obtain it through a quick phone call to NFA's Information Center. The firm or individual should willingly provide the NFA ID to any customer or potential customer upon request. If they are not willing to provide the NFA ID, the firm or individual may not want you to find them in NFA's BASIC database or YOU MAY BE DEALING WITH AN INDIVIDUAL OR FIRM NOT REGISTERED WITH THE CFTC AND NOT AN NFA MEMBER. Please read more about non-registrants.


Searching by Individual Name (top)

This is one of four possible options that can be used to search the BASIC system. The most efficient and precise search option is the Searching by NFA ID and Finding an NFA ID option. However, if you are unable to obtain an NFA ID to perform your search, this option allows you to search for an individual using their last name. The search results returned using this option include entities classified as individuals or firms in the BASIC database. The search provides both individuals and firms because an individual is able to conduct business in an individual capacity as an associated person, and an individual can conduct business in a firm capacity as a sole proprietor.

Only a last name is required to use this option, but entering a first name will make your search more efficient.

Any entity registered in an individual capacity whose last name and first name match what you entered will be returned on the results screen. The results will only include identical matches. You must enter the exact spelling of the last name. These matches can also be made on partial names. For example, entering a last name of "Smi" and a first name of "J" will return every individual whose last name begins with "Smi"(Smith, Smithson, Smits) and whose first name begins with "J"(JD, Jennifer, Joe). Matched results for individuals operating in a firm capacity are determined based on various combinations of the last and first name entered.

If you misspell a name or do not enter a name exactly as it is in the database, you will probably not get any matches or you may get incorrect matches. For example, you will not get Christine Leahy, if you enter any of the following:

Last Name: Lahey First Name: Christine
Last Name Leahy First Name: Kristine

If a name includes an apostrophe or space, it is possible the name was saved to the database without these characters. For example, Patrick O'Leary may be listed in the database as Patrick OLeary, or Jane Van Dam may be listed as Jane VanDam.

If you are having trouble searching by the entire name, try using only the first part of the last name or the first few letters of the last name. Removing the first name also makes the search less specific. The less specific you are in identifying the name, the more likely you will get a large number of results returned. However, it can be helpful to be less specific, if you don't know the exact name, or when no matched results are returned.

As a final reminder, the option that provides the most precise results is the Searching by NFA ID option. Therefore, we recommend that you contact the individual or firm and request their NFA ID.


Searching by Firm Name (top)

This is one of four possible options that can be used to search the BASIC system. The most efficient and precise search option is the Searching by NFA ID option. However, if you are unable to obtain an NFA ID to perform your search, this option allows you to search for a firm by its name. The search results returned using this option include only those entities that are classified as firms or holding companies in the BASIC database. This search option will not return parties classified as individuals.

Matching firms are returned based on simple criteria. The results will include only those firms that match identically what you have entered for the search. For example, you can find a firm named Alphabet Trading by typing any of the following:

  • Alphabet Trading
  • Alphabet
  • Alpha

However, if you misspell the name or do not enter the name exactly as it is in the database, you will probably not get any matches or you may get incorrect matches. For example, you will not get Alphabet Trading returned in your search results if you enter any of the following:

  • Alpabet Trading
  • Alphabet Trading, Inc.
  • Alphabet Futures Trading

It is extremely important that you enter the exact firm name to search the database. A misspelling or entering a firm as an "Inc." instead of a "Corp." will not provide accurate results.

If you are having trouble searching by the entire firm name, try using only the first part of the name or the first few letters of the name. The less specific you are in identifying the name, the more likely you will get a large number of results returned. However, it can be helpful to be less specific, if you don't know the exact name, or when no matched results are returned.

As a final reminder, the option that provides the most precise results is the Searching by NFA ID. We recommend that you contact the firm and request their NFA ID.


Searching by Pool Name (top)

This is one of four possible options that can be used to search the BASIC system. The most efficient and precise search option is the Searching by NFA ID option. However, if you are unable to obtain an NFA ID to perform your search, this option allows you to search for a Commodity Pool Operator (CPO) by the name of any pool it operates. When searching for pools, the pool's name, the pool's NFA ID number, the CPO's name, and the CPO's NFA ID number are returned. Additional information is available only about the CPO.

Matching pools are returned based on simple criteria. The results will include only those pools that match identically what you have entered for the search. For example, you can find a pool named Alphabet Trading by typing any of the following:

  • Alphabet Trading
  • Alphabet
  • Alpha

However, if you misspell the name or do not enter the name exactly as it is in the database, you will probably not get any matches or you may get incorrect matches. For example, you will not get Alphabet Trading returned in your search results if you enter any of the following:

  • Alpabet Trading
  • Alphabet Trading, Inc.
  • Alphabet Futures Trading

It is extremely important that you enter the exact pool name to search the database. A misspelling or entering a pool as an "Inc." instead of a "Corp." will not provide accurate results.

If you are having trouble searching by the entire pool name, try using only the first part of the name or the first few letters of the name. The less specific you are in identifying the name, the more likely you will get a large number of results returned. However, it can be helpful to be less specific, if you don't know the exact name, or when no matched results are returned.

As a final reminder, the option that provides the most precise results is the Searching by NFA ID option. We recommend that you contact the firm and request their NFA ID.


General Search Tips (top)

Search by NFA ID Number is the most reliable search option. If no information is returned, or it is not consistent with what you expected, double-check the NFA ID Number you entered and search again.

The Search by Individual Name method is a combined search listing all firms and individuals that match the data you entered. If you conduct a search using this search method, the results displayed may either be individuals or firms.

If you are having trouble searching by the entire Firm, Individual, or Pool name, or if no names are returned, try using only the first part of the name or the first few letters of the name. The less specific you are in identifying the name, the more likely you will get a large number of results returned.

If you conduct a Search by Individual Name, Search by Firm Name or Search by Pool Name, the search may return too many results if the party you are searching for has a common name. It is also possible that the name you enter has more than one NFA ID Number associated with it, so Review the results carefully for multiple correct matches and check each correct match for pertinent information. If no matching records are returned, you may not be using the correct name. These search options require the exact spelling of a name, including exact spacing, hyphenations, etc. The only way to ensure correct results is to perform a search by NFA ID Number. If you don't have an NFA ID Number, go to help for guidance in obtaining this number.

IF YOU ENTER A NAME OR NFA ID NUMBER THAT YOU ARE CERTAIN IS CORRECT AND NO MATCHING RECORDS ARE RETURNED, YOU MAY BE DEALING WITH AN INDIVIDUAL OR FIRM NOT REGISTERED WITH THE CFTC AND NOT AN NFA MEMBER. CONDUCTING FUTURES-RELATED BUSINESS WITH INDIVIDUALS OR FIRMS WHO ARE NOT CFTC REGISTRANTS AND NFA MEMBERS COULD CAUSE YOU PROBLEMS.

Virtually all individuals and firms who conduct futures-related business with the public must be registered with the CFTC and be members of NFA. Under most circumstances, it is unlawful for firms or individuals who are not CFTC registrants and are not NFA Members to conduct futures business with public customers. If you think you are dealing with an individual or firm not registered with the CFTC and not an NFA Member, please inform NFA by going to File a Complaint or by calling NFA's Information Center at (800) 621-3570 between the hours of 8:00 AM and 5:00 PM Central Time.


What Can Be Found Here (top)

  BASIC Search Options
  • Search by NFA ID Number
  • Search by Individual Name
  • Search by Firm Name
  • Search by Pool Name

  BASIC Search Results
The Search Results screen contains the subject name of the search, the subject’s NFA ID and current status. For NFA ID searches, you will be directed to the Details and Status screen (see below). Searches for Pools will also return the name of the Commodity Pool Operator (CPO). Additional Information pertaining to the pool in question can be found by following the links associated with the CPO.

  BASIC Details and Status
The Details and Status screen contains the number of regulatory actions, the number of NFA arbitration awards, the number of CFTC reparations, CFTC registration status, NFA membership status, aliases and other names for the subject of the search. The screen also provides links to further information regarding the regulatory actions, NFA arbitration awards and CFTC reparations and to CFTC registration and NFA membership history. For firms, you can also link to a list of Principals and the firm’s main office address and telephone number. For individuals, you can also link to ethics training information.

  BASIC Regulatory Actions
The Regulatory Actions screen contains information regarding each regulatory action taken against the subject firm or individual. The information includes the name of the contributor that took the regulatory action, the case number, the action type, the effective date and the outcome. This screen also provides a link to a narrative description of the regulatory action. In addition to the information pertaining specifically to the entity you are researching, a link to a full Case Summary is provided.

  BASIC Narrative
The Narrative screen includes a narrative description of the regulatory action. Narratives may be available that apply to the case as a whole and/or to the particular entity you are researching. If no narratives are available, the rules involved in the case will be displayed instead.

  BASIC Case Summary
The Case Summary screen contains all information for all respondents in a particular case.

  BASIC NFA Arbitrations Awards Summary
The NFA Arbitrations Awards Summary screen includes the case number, the award date, the role of the firm or individual in the case and a link to a more detailed summary of the case.

  BASIC CFTC Reparations Cases Details
The CFTC Reparations Cases Details screen includes a listing of the case numbers.

  BASIC File a Complaint
The File a Complaint Screen includes an electronic complaint form that you can directly submit to NFA.

The regulatory information provided by the system includes regulatory actions taken by NFA's Committees, enforcement actions including injunctive and administrative proceedings taken by the CFTC and final regulatory actions taken by U.S. futures exchanges. Regulatory actions taken by the futures exchanges prior to January 1, 1990 may not be included in the system. Additionally, the information provided by the system does not include civil actions between parties (other than summary information concerning reparations proceedings brought before the CFTC and NFA arbitration awards), criminal proceedings, and actions taken by other federal and state regulatory agencies and self-regulatory organizations. Some of these actions may have been disclosed on registration forms filed with NFA or the CFTC. You may be able to obtain this information by filing a Freedom of Information Act ("FOIA") request with the Assistant Secretary for FOIA Matters, CFTC, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. You may also fax your written FOIA request to the CFTC at (202) 418-5543 or submit your request using an electronic FOIA form located at the CFTC's web site, www.cftc.gov.

The non-regulatory information provided by the system includes summary data concerning the number of cases filed with the CFTC's reparations program and information concerning arbitration awards that have been issued through NFA's customer arbitration program. The information concerning NFA arbitration matters is available for NFA cases involving disputes between public customers and NFA Members if an award has been rendered. The arbitration information provided does not include cases which were closed before January 1, 1990, cases which are still pending or cases which were settled, withdrawn or rejected. However, even when an award is made public, the names of some parties may not be disclosed. Customers can choose to keep their identities confidential. Also, the names of parties who have settled their parts in the cases are not disclosed.


About the Contributors (top)

The BASIC database is a repository of data consolidated from 16 contributors which include NFA, the CFTC and the U.S. futures exchanges.

NFA
BASIC includes all regulatory actions taken by NFA's Committees since NFA's inception in 1982. Non-regulatory information includes details concerning NFA arbitration matters involving disputes between public customers and NFA Members if an award has been rendered. The arbitration information provided does not include cases which were closed before January 1, 1990, pending cases or cases which were settled, withdrawn or rejected.

CFTC
BASIC includes all regulatory actions taken by the CFTC since its inception in 1975. Non-regulatory information in the BASIC system includes summary data concerning the number of cases filed with the CFTC's reparations program.

U.S. Futures Exchanges
BASIC includes all final regulatory actions (with the exception of minor actions for decorum and attire) taken by the exchanges since at least January 1, 1990. BASIC does not include any information on pending exchange regulatory actions.

For a complete list of contributors with their addresses and phone numbers, see Basic Contact Information.


Information on Non-Registrants (top)

IF YOU HAVE ENTERED AN NFA ID THAT YOU ARE CERTAIN IS CORRECT AND "NO CURRENT STATUS" DISPLAYS, YOU MAY BE DEALING WITH AN INDIVIDUAL OR FIRM NOT REGISTERED WITH THE CFTC AND NOT AN NFA MEMBER. CONDUCTING FUTURES-RELATED BUSINESS WITH INDIVIDUALS OR FIRMS WHO ARE NOT CFTC REGISTRANTS AND NOT NFA MEMBERS COULD CAUSE YOU PROBLEMS.

Virtually all individuals and firms who conduct futures-related business with the public must be registered with the CFTC and be NFA Members. Under most circumstances, it is unlawful for firms or individuals, who are not CFTC registrants and are not NFA Members, to conduct futures business with public customers. If you think you are dealing with an individual or firm not registered with the CFTC and not an NFA Member, please inform NFA by going to File a Complaint or by calling NFA's Information Center at (800) 621-3570 between the hours of 8:00 AM and 5:00 PM Central Time.

Please Note: There are a variety of legitimate reasons why the status information of an individual or firm displays as "NO CURRENT STATUS." The most common reason is that the individual or firm is not currently registered with the CFTC and is not an NFA Member. Some individuals and firms have more than one NFA ID. To be certain of an individual's or firm's current CFTC registration and NFA membership status, you must check all the NFA IDs associated with the individual or firm.


 
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