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About NFA
(National Futures Association)
NFA is the
industrywide, self-regulatory organization for the U.S. derivatives
industry, providing innovative and effective regulatory programs. including
on-exchange traded futures, retail off-exchange foreign currency and OTC
derivatives.
NFA strives every
day to safeguard the integrity of the derivatives markets, protect investors
and ensure Members meet their regulatory responsibilities.
NFA is headquartered in Chicago and maintains an office in New York City
Founded:
1982
Headquarters location:
Chicago, Illinois, United
States
Key people:
Thomas W. Sexton III, President and CEO;
Michael Dawley,
Chairman
Enforcement & Registration Actions
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.
Conduct Due Diligence - BASIC
BASIC is a 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.
NFA
Commodity Pool Operator (CPO) Members
A commodity pool operator (CPO) is an individual or organization that
operates a commodity pool and solicits funds for that commodity pool. A
commodity pool is an enterprise in which
funds contributed by a number of persons are combined for the purpose of
trading futures contracts or options on futures, retail off-exchange forex
contracts, or swaps, or to invest in another commodity pool.
Futures Commission Merchant (FCM) Members
A futures commission merchant (FCM) is an entity that solicits or accepts
orders to buy or sell futures contracts, options on futures, retail
off-exchange forex contracts or swaps, and accepts
money or other assets from customers to support such orders.
News Releases
NFA issues news
releases to announce any significant disciplinary action or other NFA news.
2019
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2018
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2017
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2016
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2015
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Show more years
November 25, 2019
NFA Board appoints Michael Otten as new Vice
President, OTC Derivatives and promotes Nancy Bohanon to Vice President,
Human Resources
November 06, 2019
NFA orders Jersey City, N.J. commodity pool
operator and commodity trading advisor Golden Meadow Investments LLC to both
withdraw from and never again apply for NFA membership
October 29, 2019
NFA bars Wichita, Kansas commodity pool
operator Plutus Capital Management LLC from membership
September 20,
2019
NFA bars former Fort Lauderdale, Fla.
introducing broker and commodity trading advisor Fortress Capital, Inc. and
its former sole principal George Ashkar from membership for five years
September 17,
2019
NFA bars Chicago, Ill. commodity trading
advisor Systra LLC and its principal Robert H. Kopp from membership
August 15, 2019
NFA bars George Town, Cayman Islands commodity
pool operator and commodity trading advisor Beverstone Fund Management and
its principal Roland Kaehler from membership
August 09, 2019
NFA orders San Francisco, Calif. swap dealer
Wells Fargo Bank, N.A. to pay a $2,500,000 fine
August 07, 2019
NFA orders Bedminster, N.J. futures commission
merchant and forex dealer member Gain Capital Group LLC to pay a $50,000
fine
August 06, 2019
NFA takes emergency enforcement action against
Walnut Creek, Calif., commodity pool operator and commodity trading advisor
Denari Capital LLC and its principal Travis Gregory Capson
June 06, 2019
NFA orders Houston, Texas introducing broker
Classic Energy LLC to pay a $200,000 fine and suspends its president, Mathew
Webb, from NFA membership
May 29, 2019
NFA orders New Canaan, Conn. former commodity
pool operator and commodity trading advisor Almas Capital Management LLC and
its former sole principal Mark Nichols to both not reapply for NFA
membership
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