News & Notices | National Futures Association

Notices to Members

2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | Show fewer years

Notice I-15-28

December 07, 2015

Legal entity identifier now included in swap dealer/major swap participant registry

NFA's swap dealer/major swap participant registry (SD/MSP Registry) is a data file available on NFA's website that lists all SDs and MSPs along with their respective CFTC registration status. The SD/MSP Registry file provides a single, consolidated listing of information for use by firms, market participants, regulators and service providers who play a role in processing swap transactions.

Recently, a number of entities, including swap data repositories and ISDA, contacted NFA to request that a field for the legal entity identifier (LEI), which is publicly available information, be added to the registry to increase usefulness. Based on this input, beginning December 7, 2015, NFA added the LEI to the SD/MSP Registry, named SD/MSP Registry (version 2.0). The SD/MSP Registry (version 2.0) contains the following public information for each firm:

  • NFA ID
  • Full name
  • Location
  • CFTC Registration Status with effective date
  • Other names under which the firm conducts or has conducted business
  • LEI

Beginning July 1, 2016, the original version of the SD/MSP Registry, which does not contain the LEI, will be discontinued. The SD/MSP Registry (version 2.0), with LEI, will be available on NFA's website by navigating to the Swaps Information tab and clicking "SD/MSP Registry" in the left-hand column.

If you use the SD/MSP Registry, please update your systems and procedures to incorporate the SD/MSP Registry (version 2.0) before July 1, 2016. Please also share this information with third-party vendors that may use the SD/MSP Registry, so that they may update their processes accordingly.

If you have any questions, please contact NFA's Information Center by calling 312-781-1410 or 800-621-3570, or emailing information@nfa.futures.org.

Subscribe to NFA Email Communications