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

Pull the complete public registration and disciplinary record of the US derivatives industry — every futures commission merchant, introducing broker, commodity pool operator, commodity trading advisor, swap dealer and retail forex dealer registered with the CFTC or a member of the National Futures Association.

📥 Input · 📤 Output · 💰 Pricing · ▶️ Examples

Search by name, look up exact NFA IDs, or sweep the entire registry filtered down to just the registration types you care about. Every match comes back as one flat, spreadsheet-ready row combining contact details, the people in charge, the full disciplinary history with fine amounts, and — for firms holding customer money — the latest financial filings.

Built for KYB and AML screening, counterparty due diligence, compliance monitoring and financial-sector lead generation.

What you get

Identity and status — NFA ID, current legal name, former names and DBAs, NFA membership status (approved, pending, permanently barred, withdrawn), every CFTC registration currently held, and boolean flags for each one (isFcm, isIntroducingBroker, isCommodityPoolOperator, isCommodityTradingAdvisor, isSwapDealer, isRetailForexDealer).

Contact details — business street address, city, state, ZIP, country and the main business phone number, plus any additional office phone numbers on record.

The people in charge — every listed principal with their titles, the 10% or greater beneficial owners called out separately, and the most senior principal surfaced as a headline contact with their own NFA ID for follow-up.

Full disciplinary history — every NFA, CFTC, exchange and foreign-regulator case, with effective date, case reference, violations cited and outcome. Counts are broken out per regulator, and the total and largest fine amounts are parsed into clean USD numbers so you can sort and threshold on them. Waived fines are excluded and amounts restated across multiple line items are counted once.

Financial strength (futures commission merchants) — the latest monthly filing: adjusted net capital, required net capital and excess net capital, plus segregated, secured (Section 30.7) and cleared-swaps customer funds with the required and excess amounts for each.

Business activity — commodity pools currently operated and ceased, CFTC exemptions claimed (such as 4.7), registration history dates, and declared activity: whether the firm has commodity interest customers, solicits customers, directs accounts or operates pools.

Individuals — associated persons and listed principals with first and last name, the sponsoring firm and its NFA ID, the capacity held and the date the relationship took effect.

Commodity pools — fund name and pool ID, current or ceased status, and the operating CPO complete with its address, phone and principals, so every fund is immediately actionable.

Who is it for

• Compliance and AML teams screening counterparties, onboarding brokers or monitoring for new disciplinary actions.
• Risk and treasury desks comparing FCM financial strength before placing customer funds.
• Sales teams selling software, data, clearing or services into the futures and derivatives industry.
• Investors and allocators mapping CPOs, CTAs and the managed futures funds they run.
• Journalists and researchers tracking enforcement patterns and fine totals across regulators.

How to use it

1. Pick what to scrape: firms, individuals or commodity pools.
2. Enter search queries — or leave them empty to sweep the whole registry.
3. Narrow with the filters: registration type, NFA membership status, only registrants with disciplinary actions, US state, or only those with a phone number.
4. Set the max number of records and run it. Export to JSON, CSV or Excel.

Matching works on word starts, so a query of trading finds HJS TRADING INC as well as TRADING & CAPITAL STRATEGIES INC.

Example input

Every FCM in Illinois that has been disciplined, with contacts and financials:

{
  "recordType": "firms",
  "registrationTypes": ["Futures Commission Merchant"],
  "onlyWithRegulatoryActions": true,
  "usStates": ["IL"],
  "maxRegistrants": 500
}

Sweep every active NFA member commodity pool operator and trading advisor:

{
  "recordType": "firms",
  "registrationTypes": ["Commodity Pool Operator", "Commodity Trading Advisor"],
  "membershipStatuses": ["NFA Member Approved"],
  "requirePhone": true,
  "maxRegistrants": 5000
}

Look up specific registrants by NFA ID:

{
  "nfaIds": ["0002014", "0339826"]
}

FAQ

Do I need an account, API key or login? No. Everything the actor returns is public record, and it handles access internally.

Am I charged if a run returns nothing? No. You are only charged per real record returned. A run that finds no matches or fails costs nothing.

Can I get the whole registry? Yes. Leave the search queries empty and the actor sweeps the registry alphabetically, de-duplicating as it goes. Combine that with the registration-type filter to pull a complete, targeted segment such as every registered introducing broker.

Why are financial figures empty for most firms? Only futures commission merchants file the monthly net-capital and customer-funds reports. Other registration types have no such filings on record.

Are fine amounts reliable? They are parsed from the official outcome text of each case. Amounts restated across several line items of the same case are counted once, and fines recorded as waived are excluded from the imposed total.

Does it lose data if a run times out? No. Records are pushed in batches as they are collected, so whatever has been gathered is always in your dataset.

Related actors

• SEC IAPD Registered Investment Adviser (RIA) Firm Scraper — investment advisers registered with the SEC and state regulators.
• FINRA BrokerCheck Scraper — broker-dealer firms and registered representatives.
• SEC Form D Private Placements Scraper — Reg D private placements with issuer officers and placement agents.
• CFTC / SEC EDGAR Filings Scrapers — filings, financials and insider transactions.

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Built by scrapers.lat — structured data from public registries, tenders and marketplaces.

This actor is not affiliated with, endorsed by or sponsored by the National Futures Association or the Commodity Futures Trading Commission. It collects publicly available registration and disciplinary information.