NFA BASIC Futures Broker, CTA, CPO & Swap Dealer Scraper

Here is one real result, with every field the actor returns for a firm:

{
  "nfaId": "0240154",
  "entityType": "firm",
  "name": "CAPITAL FUND MANAGEMENT SA",
  "membershipStatus": "NFA Member Approved",
  "isNfaMember": true,
  "registrationTypes": [
    "Commodity Trading Advisor",
    "Swap Firm",
    "Commodity Pool Operator"
  ],
  "profileUrl": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=0240154",
  "source": "NFA BASIC",
  "inputQuery": "capital",
  "observedAt": "2026-08-11T21:21:46.616Z",
  "hasRegulatoryActions": false,
  "addressStreet1": "23 RUE DE L'UNIVERSITE",
  "addressStreet2": null,
  "addressStreet3": null,
  "addressCity": "PARIS",
  "addressState": null,
  "addressPostalCode": "75007",
  "addressCountry": "FR",
  "addressCountryName": "FRANCE",
  "phone": "+33 1 4949 5949",
  "additionalPhones": [],
  "officeLocationsCount": 4,
  "dbaNames": [],
  "formerNames": [
    "CAPITAL FUTURES MANAGEMENT SA",
    "CAPITAL FUTURES MANAGEMENT SNC"
  ],
  "registrationTypeCodes": ["CTA", "SF", "CPO"],
  "isFcm": false,
  "isIntroducingBroker": false,
  "isCommodityPoolOperator": true,
  "isCommodityTradingAdvisor": true,
  "isSwapDealer": false,
  "isRetailForexDealer": false,
  "isFloorTrader": false,
  "isSoleProprietor": false,
  "isHoldingCompany": true,
  "holdsCustomerFunds": false,
  "firstRegisteredDate": "1992-01-23",
  "lastRegistrationEventDate": "2013-01-01",
  "registrationEventsCount": 12,
  "nfaMemberSince": "1992-05-05",
  "principalsCount": 7,
  "principalNames": [
    "JEAN PHILIPPE BOUCHAUD",
    "PHILIPPE JORDAN",
    "LAURENT MARIE LALOUX",
    "NGI STRATEGIC AUSTRALIA PTY LTD",
    "MARC POTTERS",
    "JACQUES CHARLES SAULIERE",
    "MARTIN WALDEMAR TORNQVIST"
  ],
  "principalTitles": [
    "PRESIDENT",
    "DIRECTOR HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION",
    "DIRECTOR",
    "CHIEF EXECUTIVE OFFICER",
    "CHIEF COMPLIANCE OFFICER"
  ],
  "tenPercentOwnerNames": [
    "JEAN PHILIPPE BOUCHAUD",
    "PHILIPPE JORDAN",
    "NGI STRATEGIC AUSTRALIA PTY LTD",
    "MARC POTTERS",
    "JACQUES CHARLES SAULIERE"
  ],
  "topPrincipalName": "JACQUES CHARLES SAULIERE",
  "topPrincipalTitle": "CHIEF EXECUTIVE OFFICER",
  "topPrincipalNfaId": "0315749",
  "currentPoolsCount": 16,
  "ceasedPoolsCount": 10,
  "currentPoolNames": [],
  "exemptionTypes": ["4.7", "4.13(a)(4)"],
  "hasExemptions": true,
  "regActionsNfa": 0,
  "regActionsCftc": 0,
  "regActionsExchange": 0,
  "regActionsForeign": 0,
  "regActionsTotal": 0,
  "arbitrationsCount": 0,
  "reparationsCount": 0,
  "hasCommodityCustomers": true,
  "solicitsCustomers": true,
  "directsCustomerAccounts": true,
  "operatesCommodityPools": true,
  "regulatoryActionsListed": 0,
  "totalFinesUsd": 0,
  "largestFineUsd": 0,
  "regulatoryActions": []
}

The most complete NFA BASIC scraper available. It returns every field the NFA BASIC registration and disciplinary record exposes for each firm, individual and commodity pool, plus derived flags and totals, and gives you nine filters to target exactly the registrants you need.

📥 Input · 📤 Output · 💰 Pricing · ▶️ Examples

Table of contents

• What it does
• Quickstart
• Input reference
• Output reference
• Example output record
• Run via API and CLI
• Fetch results
• Billing and limits
• FAQ and troubleshooting

What it does

The actor searches NFA BASIC, the public registration and disciplinary record of firms and individuals registered with the CFTC and/or members of the National Futures Association (futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, swap dealers and retail forex dealers). You can search firms, individuals or commodity pools by keyword, or look up exact NFA IDs. Each match is optionally enriched with the full profile (address, phone, principals, 10% owners, registration history, exemptions), every disciplinary action with fine amounts, and (for FCMs) the latest net-capital and customer-funds figures. Dates are normalized to YYYY-MM-DD, and missing source values are returned as null.

Data covers CFTC / NFA registrants only. No account, key or login is required.

Quickstart

Open the actor, paste this into the input, and press Run. It returns up to 10 firms matching the keyword capital, with full profiles, disciplinary actions and financials.

{
  "recordType": "firms",
  "searchQueries": ["capital"],
  "maxRegistrants": 10
}

Leave searchQueries empty to sweep the registry alphabetically. For individuals, use Lastname or Lastname, Firstname. Pass nfaIds to look up exact records instead of searching.

Input reference

Field	Type	Required	Default	Description
recordType	enum	no	firms	What to scrape. One of firms (CFTC-registered companies), individuals (associated persons and principals), pools (commodity pools with their operating CPO).
searchQueries	string[]	no	["capital"]	Firm, fund or person name keywords, one search per item. Matching is on word starts. For individuals use Lastname or Lastname, Firstname. Leave empty to sweep the whole registry alphabetically.
nfaIds	string[]	no	(empty)	Look up exact NFA ID numbers directly, for example 0002014. Leading zeros are added automatically. When given, these are fetched instead of running searches.
registrationTypes	enum[]	no	(any)	Keep only registrants currently holding these CFTC registrations (for example Commodity Pool Operator, Swap Dealer).
membershipStatuses	enum[]	no	(any)	Keep only registrants with these NFA membership statuses, for example NFA Member Approved, Permanent Bar.
onlyWithRegulatoryActions	boolean	no	false	Return only registrants carrying at least one NFA, CFTC, exchange or foreign-regulator disciplinary action.
usStates	string[]	no	(any)	Keep only registrants whose business address is in these two-letter states, for example NY, IL, TX. Requires full profiles.
requirePhone	boolean	no	false	Return only registrants that have a business phone on record. Requires full profiles.
fetchProfiles	boolean	no	true	Fetch the full profile for every match (address, phone, DBAs, former names, principals, 10% owners, history, pools, exemptions).
fetchRegulatoryActions	boolean	no	true	Fetch every NFA, CFTC, exchange and foreign-regulator case with reference, date, violations, outcome and fine amount.
fetchFinancials	boolean	no	true	For FCMs, fetch the latest net-capital and segregated, secured and cleared-swaps customer funds figures.
maxRegistrants	integer	no	30	Maximum number of registrant records to return. Free Apify plans are capped at 10 per run.

All filters are optional and combine with logical AND.

Output reference

One dataset item per registrant. Types: string, number, integer, boolean, string[], or null when the source value is absent. Fields present depend on recordType and which enrichment toggles are on.

Core fields (all record types)

Field	Type	Description
nfaId	string	7-digit NFA ID (unique per registrant).
entityType	string	firm, individual or pool.
name	string	Current legal name of the firm, person or pool.
membershipStatus	string	NFA membership status, for example NFA Member Approved.
isNfaMember	boolean	true when membership status is member approved.
registrationTypes	string[]	CFTC registration types currently held.
profileUrl	string	Link to the NFA BASIC profile.
source	string	Data source. Always NFA BASIC.
inputQuery	string	The search query or NFA ID that produced this record.
observedAt	string	ISO 8601 collection timestamp.
hasRegulatoryActions	boolean	true when any disciplinary action is on record.

Profile fields (when fetchProfiles is on)

Field	Type	Description
addressStreet1 / addressStreet2 / addressStreet3	string	Business street address lines, or null.
addressCity	string	Business city.
addressState	string	State or province code, or null.
addressPostalCode	string	Postal / ZIP code.
addressCountry	string	Country code, for example FR, US.
addressCountryName	string	Country name.
phone	string	Business phone, or null.
additionalPhones	string[]	Other phones on record.
officeLocationsCount	integer	Number of address records.
dbaNames	string[]	Doing-business-as names.
formerNames	string[]	Prior legal names.
registrationTypeCodes	string[]	Registration type codes, for example CTA, CPO, SF.
isFcm / isIntroducingBroker / isCommodityPoolOperator / isCommodityTradingAdvisor / isSwapDealer / isRetailForexDealer / isFloorTrader	boolean	Registration-type flags.
isSoleProprietor / isHoldingCompany / holdsCustomerFunds	boolean	Structure and custody flags.
firstRegisteredDate	string	Earliest registration event date (YYYY-MM-DD).
lastRegistrationEventDate	string	Most recent registration event date.
registrationEventsCount	integer	Number of registration history events.
nfaMemberSince	string	NFA member approval date, or null.
principalsCount	integer	Number of listed principals.
principalNames	string[]	Listed principal names.
principalTitles	string[]	Principal titles.
tenPercentOwnerNames	string[]	Names of listed 10% owners.
topPrincipalName / topPrincipalTitle / topPrincipalNfaId	string	Most senior principal (decision-maker).
currentPoolsCount / ceasedPoolsCount	integer	Counts of operated commodity pools.
currentPoolNames	string[]	Names of current pools operated.
exemptionTypes	string[]	CFTC exemptions claimed, for example 4.7.
hasExemptions	boolean	true when any exemption is claimed.
regActionsNfa / regActionsCftc / regActionsExchange / regActionsForeign / regActionsTotal	integer	Disciplinary action counts by regulator.
arbitrationsCount / reparationsCount	integer	Arbitration and reparation counts.
hasCommodityCustomers / solicitsCustomers / directsCustomerAccounts / operatesCommodityPools	boolean	Business activity flags.

Disciplinary fields (when fetchRegulatoryActions is on)

Field	Type	Description
regulatoryActionsListed	integer	Number of disciplinary cases returned.
totalFinesUsd	number	Sum of imposed fines (waived fines excluded).
largestFineUsd	number	Largest single fine imposed.
regulatoryActions	string[]	One human-readable line per case (date, regulator, reference, violations, outcome).
hasBarrableOffense	boolean	Present when a case involves a barrable offense.
latestRegActionDate / latestRegActionRegulator / latestRegActionReference / latestRegActionViolations / latestRegActionOutcome	string	Most recent case details. Present when cases exist.

Financial fields (FCMs, when fetchFinancials is on): financialsAsOf, adjustedNetCapitalUsd, requiredNetCapitalUsd, excessNetCapitalUsd, segregatedFundsUsd, segregatedRequiredUsd, segregatedExcessUsd, securedFundsUsd, clearedSwapsCollateralUsd and related figures (numbers, or absent for non-FCMs).

Individual fields: firstName, lastName, sponsorFirmName, sponsorNfaId, sponsorRelationship, sponsorSince, sponsorFirmNames, sponsorFirmsCount.

Pool fields: poolId, poolStatus, isCurrentPool, cpoName, cpoNfaId, cpoMembershipStatus, plus the operating CPO's contact and principals when profiles are on.

On a failed run, a single item with a populated error field is written instead.

Example output record

Real record from a live run (input {"recordType":"firms","searchQueries":["capital"],"maxRegistrants":10}). See the hero record above for the full field set; this is the same registrant.

{
  "nfaId": "0240154",
  "entityType": "firm",
  "name": "CAPITAL FUND MANAGEMENT SA",
  "membershipStatus": "NFA Member Approved",
  "isNfaMember": true,
  "registrationTypes": ["Commodity Trading Advisor", "Swap Firm", "Commodity Pool Operator"],
  "addressCity": "PARIS",
  "addressCountryName": "FRANCE",
  "phone": "+33 1 4949 5949",
  "firstRegisteredDate": "1992-01-23",
  "nfaMemberSince": "1992-05-05",
  "topPrincipalName": "JACQUES CHARLES SAULIERE",
  "topPrincipalTitle": "CHIEF EXECUTIVE OFFICER",
  "currentPoolsCount": 16,
  "exemptionTypes": ["4.7", "4.13(a)(4)"],
  "regActionsTotal": 0,
  "totalFinesUsd": 0,
  "profileUrl": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=0240154",
  "source": "NFA BASIC",
  "inputQuery": "capital",
  "observedAt": "2026-08-11T21:21:46.616Z"
}

Run via API and CLI

Start a run and wait for it to finish, then read the dataset. Replace <TOKEN> with your Apify API token.

Run synchronously and get dataset items in one call:

curl -X POST "https://api.apify.com/v2/acts/scrapers_lat~nfa-basic-futures-registrants-scraper/run-sync-get-dataset-items?token=<TOKEN>" \
  -H "Content-Type: application/json" \
  -d '{"recordType":"firms","searchQueries":["Goldman Sachs"],"registrationTypes":["Swap Dealer"],"maxRegistrants":25}'

Start a run asynchronously:

curl -X POST "https://api.apify.com/v2/acts/scrapers_lat~nfa-basic-futures-registrants-scraper/runs?token=<TOKEN>" \
  -H "Content-Type: application/json" \
  -d '{"nfaIds":["0240154"]}'

Apify CLI:

apify call scrapers_lat/nfa-basic-futures-registrants-scraper \
  --input '{"recordType":"firms","onlyWithRegulatoryActions":true,"maxRegistrants":50}'

Fetch results

Every run writes to a dataset. Fetch items as JSON, CSV, or Excel by changing format:

# JSON
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&clean=true&format=json"

# CSV
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&clean=true&format=csv"

# Paginate large datasets
curl "https://api.apify.com/v2/datasets/<DATASET_ID>/items?token=<TOKEN>&offset=1000&limit=1000"

<DATASET_ID> is returned as defaultDatasetId in the run object. Use offset and limit to page through large result sets. clean=true drops empty and internal fields.

Billing and limits

• Pay per result. You are charged per record returned (result event). See the pricing tab for the current per-result price.
• No charge on failure. If a run errors, the actor writes a single item with a populated error field and does not charge for it. Empty runs cost nothing.
• Spend cap respected. Set maxTotalChargeUsd on the run; once reached, the actor stops emitting and charging further billable results.
• Free Apify plans are capped at 10 records per run. Upgrade for higher maxRegistrants.

FAQ and troubleshooting

A run returned 0 records. Why? The keyword matched nothing, or your filters excluded everything. Broaden the query, remove registrationTypes/membershipStatuses/usStates, or leave searchQueries empty to sweep the registry. Zero-result runs are not charged.

How do I screen only registrants with disciplinary history? Set onlyWithRegulatoryActions to true. Each returned record includes case references, violations, outcomes and totalFinesUsd.

Can I look up an exact firm or person? Yes. Pass its 7-digit NFA ID in nfaIds (leading zeros are added automatically). These are fetched directly instead of searching.

Which fields need full profiles? Address, phone, principals, 10% owners, history, exemptions and the usStates/requirePhone filters all need fetchProfiles. It is on by default; the actor fetches profiles anyway when those filters are set.

Do all firms have financials? No. Net-capital and customer-funds filings exist only for futures commission merchants (FCMs). For other registrants those fields are absent.

Is this an official NFA tool? No. This actor is independent and has no affiliation with the NFA or CFTC. It reads only data that is publicly available through NFA BASIC. Use the results in accordance with the source's terms.

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Independent tool, not affiliated with the NFA or CFTC. Accesses only publicly available NFA BASIC data. Use the results in accordance with the source's terms.