Are NFA records public?

NFA can only release non-public records under the conditions described in Registration Rule 701(c). Non-public records include: Disclosure documents filed with NFA since November 1, 1997.

What NFA Basic?

BASIC is a free tool that Members and investors can use to research the background of derivatives industry professionals. Whether you are an investor thinking about opening a futures account or an NFA Member contemplating a new business relationship, BASIC can be a valuable resource.

Who is registered with the NFA?

The Commodity Exchange Act (CEA) requires certain firms and individuals that conduct business in the derivatives industry to register with the CFTC. CFTC regulations also require, with few exceptions, CFTC registered firms to be NFA Members. The CFTC has delegated registration responsibility to NFA.

Is the NFA a registry?

The NFRTR is the central registry of all NFA firearms in the U.S. which are not in the possession or under the control of the U.S. Government.

How do I register for NFA?

1. Register Online. Begin the enrollment process.
2. Security Manager Duties. Understand the responsibilities of a security manager.
3. Templates and Forms. Use these templates and forms to prepare for registration.
4. Dues and Fees.
5. Failure to Disclose Disciplinary Information on a Registration Application.
6. Proficiency Requirements.

What are NFA regulations?

The National Firearms Act of 1934 (NFA) requires the registration, with the federal government, of fully-automatic firearms (termed “machineguns”), rifles and shotguns that have an overall length under 26 inches, rifles with a barrel under 16 inches, shotguns with a barrel under 18 inches, and firearm sound suppressors …

Does SDR need NFA registration?

Under the Dodd- Frank Act, all swaps, whether cleared or uncleared, are required to be reported to registered SDRs. SDRs are required to register with the CFTC and comply with rules promulgated by the CFTC, including real-time public reporting of swap transaction and pricing data.

Are SEF NFA members?

The Dodd-Frank Wall Street Reform Act created a new type of trading venue for standardized swaps—swap execution facilities (SEF)—each of which has self-regulatory responsibilities to monitor trading on its platform. The CFTC’s SEF rules allowed these entities to contract with NFA for regulatory services.

Who is required to be an NFA member?

All registered FCMs, RFEDs, IBs, SDs, MSPs, CPOs and those registered CTAs who direct client accounts or provide tailored investment advice must be NFA Members.

What is the difference between NFA and CFTC?

When Congress created the CFTC, it simultaneously authorized the CFTC to establish registered futures associations with authority to regulate the practices of its Members. NFA is the sole registered futures association.

Does the NFA regulate SEF?

NFA provides regulatory services to designated contract markets (DCM) and swap execution facilities (SEF)—each of which has self-regulatory responsibilities to monitor trading on its platform.

How to find out if you are a NFA member?

For more information on NFA Members, access NFA’s directories, which include, among other details, a firm’s registration and membership status, NFA ID, and city, state, province (if applicable) and country. These directories are available as CSV files.

How to get a NFA or pool ID?

Please enter an NFA or Pool ID. Please enter a last name. Please enter a pool name. Firm NFA ID Individual Pool BASIC is a free tool that NFA Members and investors can use to research the background of derivatives industry professionals.

What happens if a member violates NFA rules?

NFA has the authority to take disciplinary actions against any Member or Associate that violates its rules. If an NFA Member or Associate engages in conduct that puts customers, the futures markets, or other Members at risk, immediate action will be taken accordingly. See Actionsabout Enforcement and Registration Actions Members For Members

How many items are registered in the nfrtr?

More than 3 million items are currently registered in the NFRTR, which dates back to the enactment of the NFA in 1934. To ask a question about the NFA or check the status of an NFA application, please call the NFA Division at 304-616-4500 or email [email protected].