--- type: "firecrawl-provider" description: "National Futures Association BASIC registry: firm, individual and commodity pool search, registration profiles, regulatory actions, arbitration awards, CFTC reparations, FCM financial reports and CPO pools, over BASIC's own JSON-RPC handlers." use_when: "National Futures Association BASIC registry: firm, individual and commodity pool search, registration profiles, regulatory actions, arbitration awards, CFTC reparations, FCM financial reports and CPO pools, over BASIC's own JSON-RPC handlers." categories: "Public records" capabilities: 12 credits_per_call: 5 --- # NFA BASIC on Firecrawl Alexandria National Futures Association BASIC registry: firm, individual and commodity pool search, registration profiles, regulatory actions, arbitration awards, CFTC reparations, FCM financial reports and CPO pools, over BASIC's own JSON-RPC handlers. - Categories: Public records - Category index: [Public records category](https://firecrawl.dev/alexandria/agents/categories/public-records) - Provider key: `nfa-futures-org` - Access: Firecrawl credits - Cost: 5 credits per call ## More - [Human guide](https://firecrawl.dev/app/alexandria/nfa-futures-org) - [OpenAPI spec](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/openapi.json) ## Capabilities - [Get arbitration award](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_arbitration_award): One NFA arbitration award (getArbDetailData across its case, proceeding, issues, parties and claim views): dates, hearing details, parties, claimed and awarded amounts in USD and the award text. not_found when the case does not involve the id. - [Get fcm financials](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_fcm_financials): FCM financial report series between two dates (getNetCapitalReport / getSegregatedReport / getSecuredReport / getSwapsReport, LINE view): per report date the three BASIC lines in USD, the investment breakdown for the customer-funds reports, and BASIC's affiliate-depository note. Empty series for firms that file no such report; not_found for an unknown id. - [Get profile](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_profile): Full BASIC profile of a firm or individual by NFA ID (getProfileBootstrap): names, addresses, membership banner, registration codes, current statuses, registration history, principals, FCM/CPO flags, regulatory-action/arbitration/reparations counts and the profile URL. - [Get regulatory action](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_regulatory_action): One regulatory action case (getRegCasesDetails across its respondent, rule, actions, outcomes and narrative views): respondents, rules violated, actions, dated outcomes and narrative text. not_found when BASIC has no such case for the id. - [List arbitration awards](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_arbitration_awards): NFA arbitration awards involving an NFA ID (getArbDecisionsIndex): case number, award date and the entity's relation (Claimant/Respondent). Empty when there are none; not_found for an unknown id. - [List pools](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_pools): Commodity pools operated by a CPO: current pools with their exemption (getExemptionsPools, 50 per page) or ceased pools with ceased dates (getCeasedPoolsByID, one page). Empty when the CPO operates none; not_found for an unknown id. - [List regulatory actions](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_regulatory_actions): Regulatory actions BASIC lists for an NFA ID (getRegActionsIndex): contributor, case reference, effective date, outcomes and charges per action, with the case detail URL. Empty for an entity with a clean record; not_found for an unknown id. - [List reparations](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_reparations): CFTC reparations dockets BASIC lists for an NFA ID (getRepCases). Empty when there are none; not_found for an unknown id. - [Lookup id](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/lookup_id): Resolve an NFA ID (firm or individual) or a pool id (P + 6 digits) to the entity BASIC knows (getNfaIdSearchResults), including the encrypted id its profile URL needs. not_found when BASIC has no such id. - [Search firms](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_firms): Search BASIC firms by name (getFirmSearchResults): NFA ID, encrypted id, location, current registration types, membership status and regulatory-action flag per row, 50 rows per page. - [Search individuals](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_individuals): Search BASIC individuals by last name and optional first name (getIndividualSearchResults), 50 rows per page. - [Search pools](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_pools): Search commodity pools by name (getPoolNameSearchResults): pool id, status and the operating CPO's NFA ID, 50 rows per page. ## 1. Choose this provider when National Futures Association BASIC registry: firm, individual and commodity pool search, registration profiles, regulatory actions, arbitration awards, CFTC reparations, FCM financial reports and CPO pools, over BASIC's own JSON-RPC handlers. ## 2. Minimal request Call `POST https://api.firecrawl.dev/v2/scrape` with `{ alexandria: { provider, capability, options } }`. For a batch, send `{ alexandria: [...] }` with up to 10 calls. ```json { "provider": "nfa-futures-org", "capability": "regulatory-registry/get_arbitration_award", "options": { "case_number": "22ARB00016", "nfa_id": "0258600" } } ``` ## 3. Add provider options Use only the options needed for the task: - `case_number` (string, required): Arbitration case number, e.g. 22ARB00016. Example: `` - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` ## 4. Request through your preferred interface ### JavaScript ```javascript const result = await firecrawl.scrape({ alexandria: { provider: "nfa-futures-org", capability: "regulatory-registry/get_arbitration_award", options: { case_number: "22ARB00016", nfa_id: "0258600", }, }, }); ``` ### Python ```python result = firecrawl.scrape_alexandria({ "provider": "nfa-futures-org", "capability": "regulatory-registry/get_arbitration_award", "options": { "case_number": "22ARB00016", "nfa_id": "0258600" } }) ``` ### cURL ```sh curl https://api.firecrawl.dev/v2/scrape \ -H "Authorization: Bearer $FIRECRAWL_API_KEY" \ -H "Content-Type: application/json" \ -d '{ "alexandria": { "provider": "nfa-futures-org", "capability": "regulatory-registry/get_arbitration_award", "options": { "case_number": "22ARB00016", "nfa_id": "0258600" } } }' ``` ### CLI ```sh firecrawl scrape 'nfa-futures-org/regulatory-registry/get_arbitration_award' \ --options '{"case_number":"22ARB00016","nfa_id":"0258600"}' ``` ### MCP Call the FCX MCP retrieve tool with this object: ```json { "provider": "nfa-futures-org", "capability": "regulatory-registry/get_arbitration_award", "options": { "case_number": "22ARB00016", "nfa_id": "0258600" } } ``` Ask for only the returned fields needed by the task. ## 5. Full request shape ```json { "provider": "nfa-futures-org", "capability": "regulatory-registry/get_arbitration_award", "options": { "case_number": "22ARB00016", "nfa_id": "0258600" } } ``` ## 6. Response data The response includes `success`, `provider`, `capability`, `creditsCost` and `data`. This example shows the provider payload in `data`: ```json { "award_date": "06/07/2023", "award_text": "The following issues were presented to and decided by the undersigned Arbitrator: \n\nBruce Haffner's Causes of Action against Interactive Brokers, LLC (IBKR): IBKR allowed improper exercising of trades, breach of fiduciary responsibility to protect customer, negligence, fraud, request for interest and costs. \nInteractive Brokers, LLC's Causes of Action in Counterclaim against Bruce Haffner: Breach of Contract, request for interest and attorney's fees.\n\nI, being the Arbitrator appointed to hear and determine this matter in accordance with the Code of Arbitration of National Futures Association, hereby determine the following:\n\nBruce Haffner's claims against Interactive Brokers, LLC are denied and dismissed with prejudice. \n\nInteractive Brokers, LLC's claim against Bruce Haffner is denied and dismissed with prejudice. \n\nEach party shall bear its own costs and fees as incurred.", "case_number": "22ARB00016", "claims": [ { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 35375, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "DEMAND" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 19674.34, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "COUNTER" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 0, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "3RDPARTY" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 0, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "CROSS" } ], "date_filed": "04/18/2022", "nfa_id": "0258600", "observed_at_ms": 1791144056472, "parties": [ { "class": "CVM", "first_name": "BRUCE", "last_name": "HAFFNER", "relation": "CLMNT", "represented_party": null }, { "class": "MVC", "first_name": null, "last_name": "INTERACTIVE BROKERS LLC", "relation": "CLMNT", "represented_party": null }, { "class": "0549066", "first_name": "JOVALIN", "last_name": "DEDAJ", "relation": "REP", "represented_party": "0258600" }, { "class": "MVC", "first_name": "BRUCE", "last_name": "HAFFNER", "relation": "RESP", "represented_party": null }, { "class": "CVM", "first_name": null, "last_name": "INTERACTIVE BROKERS LLC", "relation": "RESP", "represented_party": "0549066" } ], "proceeding": { "city": "Boston", "number_of_arbitrators": 1, "panel_type": "M", "proceeding_type": "HEARING", "state": "MA" } } ``` ## API reference-derived contract The following capability contract is generated from the same normalized Alexandria API reference exposed in the API spec. ### Get arbitration award - Capability: `regulatory-registry/get_arbitration_award` - Description: One NFA arbitration award (getArbDetailData across its case, proceeding, issues, parties and claim views): dates, hearing details, parties, claimed and awarded amounts in USD and the award text. not_found when the case does not involve the id. - Instructions: Read an award returned by list_arbitration_awards. - Cost: 5 credits per call - Capability file: [Get arbitration award](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_arbitration_award) Accepted options: - `case_number` (string, required): Arbitration case number, e.g. 22ARB00016. Example: `` - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "award_date": "06/07/2023", "award_text": "The following issues were presented to and decided by the undersigned Arbitrator: \n\nBruce Haffner's Causes of Action against Interactive Brokers, LLC (IBKR): IBKR allowed improper exercising of trades, breach of fiduciary responsibility to protect customer, negligence, fraud, request for interest and costs. \nInteractive Brokers, LLC's Causes of Action in Counterclaim against Bruce Haffner: Breach of Contract, request for interest and attorney's fees.\n\nI, being the Arbitrator appointed to hear and determine this matter in accordance with the Code of Arbitration of National Futures Association, hereby determine the following:\n\nBruce Haffner's claims against Interactive Brokers, LLC are denied and dismissed with prejudice. \n\nInteractive Brokers, LLC's claim against Bruce Haffner is denied and dismissed with prejudice. \n\nEach party shall bear its own costs and fees as incurred.", "case_number": "22ARB00016", "claims": [ { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 35375, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "DEMAND" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 19674.34, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "COUNTER" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 0, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "3RDPARTY" }, { "awarded": { "compensatory": 0, "costs": 0, "fees": 0, "interest": 0, "punitive": 0, "treble": 0 }, "claimed": { "compensatory": 0, "punitive": 0, "treble": 0 }, "currency": "USD", "type": "CROSS" } ], "date_filed": "04/18/2022", "nfa_id": "0258600", "observed_at_ms": 1791144056472, "parties": [ { "class": "CVM", "first_name": "BRUCE", "last_name": "HAFFNER", "relation": "CLMNT", "represented_party": null }, { "class": "MVC", "first_name": null, "last_name": "INTERACTIVE BROKERS LLC", "relation": "CLMNT", "represented_party": null }, { "class": "0549066", "first_name": "JOVALIN", "last_name": "DEDAJ", "relation": "REP", "represented_party": "0258600" }, { "class": "MVC", "first_name": "BRUCE", "last_name": "HAFFNER", "relation": "RESP", "represented_party": null }, { "class": "CVM", "first_name": null, "last_name": "INTERACTIVE BROKERS LLC", "relation": "RESP", "represented_party": "0549066" } ], "proceeding": { "city": "Boston", "number_of_arbitrators": 1, "panel_type": "M", "proceeding_type": "HEARING", "state": "MA" } } ``` ### Get fcm financials - Capability: `regulatory-registry/get_fcm_financials` - Description: FCM financial report series between two dates (getNetCapitalReport / getSegregatedReport / getSecuredReport / getSwapsReport, LINE view): per report date the three BASIC lines in USD, the investment breakdown for the customer-funds reports, and BASIC's affiliate-depository note. Empty series for firms that file no such report; not_found for an unknown id. - Instructions: Track an FCM's adjusted net capital or customer segregated/secured/swap funds over time. - Cost: 5 credits per call - Capability file: [Get fcm financials](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_fcm_financials) Accepted options: - `from` (string, required): Start date YYYY-MM-DD. Pattern: ^[0-9]{4}-[0-9]{2}-[0-9]{2}$. Example: `` - `nfa_id` (string, required): FCM's NFA ID. Pattern: ^[0-9]{1,7}$. Example: `` - `report` (string, required): report Example: `net_capital` - `to` (string, required): End date YYYY-MM-DD. Pattern: ^[0-9]{4}-[0-9]{2}-[0-9]{2}$. Example: `` Response schema example: ```json { "breakdown": [], "currency": "USD", "depository_note": null, "from": "2025-01-01", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "observed_at_ms": 1791144103341, "report": "net_capital", "series": [ { "ending_date": "01/31/2025", "line_number": 1, "value": 9459317094 }, { "ending_date": "01/31/2025", "line_number": 2, "value": 1264179099 }, { "ending_date": "01/31/2025", "line_number": 3, "value": 8195137995 }, { "ending_date": "02/28/2025", "line_number": 1, "value": 9722633503 }, { "ending_date": "02/28/2025", "line_number": 2, "value": 1206086319 }, { "ending_date": "02/28/2025", "line_number": 3, "value": 8516547184 }, { "ending_date": "03/31/2025", "line_number": 1, "value": 9665898575 }, { "ending_date": "03/31/2025", "line_number": 2, "value": 1212255266 }, { "ending_date": "03/31/2025", "line_number": 3, "value": 8453643309 }, { "ending_date": "04/30/2025", "line_number": 1, "value": 9977594277 }, { "ending_date": "04/30/2025", "line_number": 2, "value": 1123695818 }, { "ending_date": "04/30/2025", "line_number": 3, "value": 8853898459 }, { "ending_date": "05/31/2025", "line_number": 1, "value": 10047298166 }, { "ending_date": "05/31/2025", "line_number": 2, "value": 1209114827 }, { "ending_date": "05/31/2025", "line_number": 3, "value": 8838183339 }, { "ending_date": "06/30/2025", "line_number": 1, "value": 9738692434 }, { "ending_date": "06/30/2025", "line_number": 2, "value": 1308413340 }, { "ending_date": "06/30/2025", "line_number": 3, "value": 8430279094 }, { "ending_date": "07/31/2025", "line_number": 1, "value": 10056974131 }, { "ending_date": "07/31/2025", "line_number": 2, "value": 1396750663 }, { "ending_date": "07/31/2025", "line_number": 3, "value": 8660223468 }, { "ending_date": "08/31/2025", "line_number": 1, "value": 10431004743 }, { "ending_date": "08/31/2025", "line_number": 2, "value": 1449625653 }, { "ending_date": "08/31/2025", "line_number": 3, "value": 8981379090 }, { "ending_date": "09/30/2025", "line_number": 1, "value": 10442869397 }, { "ending_date": "09/30/2025", "line_number": 2, "value": 1627513038 }, { "ending_date": "09/30/2025", "line_number": 3, "value": 8815356359 }, { "ending_date": "10/31/2025", "line_number": 1, "value": 10686189704 }, { "ending_date": "10/31/2025", "line_number": 2, "value": 1738782055 }, { "ending_date": "10/31/2025", "line_number": 3, "value": 8947407649 }, { "ending_date": "11/30/2025", "line_number": 1, "value": 11043681215 }, { "ending_date": "11/30/2025", "line_number": 2, "value": 1697109858 }, { "ending_date": "11/30/2025", "line_number": 3, "value": 9346571357 }, { "ending_date": "12/31/2025", "line_number": 1, "value": 10600000000 }, { "ending_date": "12/31/2025", "line_number": 2, "value": 1800000000 }, { "ending_date": "12/31/2025", "line_number": 3, "value": 8800000000 } ], "to": "2025-12-31" } ``` ### Get profile - Capability: `regulatory-registry/get_profile` - Description: Full BASIC profile of a firm or individual by NFA ID (getProfileBootstrap): names, addresses, membership banner, registration codes, current statuses, registration history, principals, FCM/CPO flags, regulatory-action/arbitration/reparations counts and the profile URL. - Instructions: Get the registration record behind an NFA ID returned by a search or lookup. - Cost: 5 credits per call - Capability file: [Get profile](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_profile) Accepted options: - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "addresses": [ { "city": "GREENWICH", "country": "UNITED STATES", "country_code": "US", "name": "FUTURETRADE SECURITIES CORP", "phone": "203 618 5700", "postal_code": "06830", "province": null, "state": "CT", "street": [ "3 PICKWICK PLAZA" ] }, { "city": "GREENWICH", "country": "UNITED STATES", "country_code": "US", "name": "FUTURETRADE SECURITIES LLC", "phone": "203 618 5700", "postal_code": "06830", "province": null, "state": "CT", "street": [ "3 PICKWICK PLAZA" ] }, { "city": "GREENWICH", "country": "UNITED STATES", "country_code": "US", "name": "INTERACTIVE BROKERS CORP", "phone": "203 618 5700", "postal_code": "06830", "province": null, "state": "CT", "street": [ "3 PICKWICK PLAZA" ] } ], "affiliations": [], "arbitration_award_count": 0, "ceased_pools": [], "current_pools": [], "current_statuses": [ { "branch_id": null, "category_code": "NFA", "description": "NFA MEMBER APPROVED", "effective_date": "05/27/2008", "sponsor_name": null, "sponsor_nfa_id": null }, { "branch_id": null, "category_code": "IB", "description": "INTRODUCING BROKER REGISTERED", "effective_date": "05/27/2008", "sponsor_name": null, "sponsor_nfa_id": null } ], "dba_names": [], "entity_id_enc": "+ZExSP9DKWw=", "entity_type": "firm", "flags": { "ever_cftc_registered": true, "fcm_fully_disclosed": false, "fcm_holds_secured_funds": false, "fcm_holds_segregated_funds": false, "fcm_holds_swap_funds": false, "has_active_firm_status": true, "is_forex_dealer_member": false, "is_holding_company": false, "is_sole_proprietor": false, "withdrawal_hold": false }, "former_names": [ "FUTURETRADE SECURITIES CORP", "FUTURETRADE SECURITIES LLC" ], "generated_at": "2026-10-04T20:00:08.0831301Z", "history": [ { "category_code": "IB", "description": "INTRODUCING BROKER PENDING", "effective_date": "01/30/2008", "sponsor_name": null, "sponsor_nfa_id": null }, { "category_code": "NFA", "description": "NFA MEMBER PENDING", "effective_date": "02/15/2008", "sponsor_name": null, "sponsor_nfa_id": null }, { "category_code": "IB", "description": "INTRODUCING BROKER REGISTERED", "effective_date": "05/27/2008", "sponsor_name": null, "sponsor_nfa_id": null }, { "category_code": "NFA", "description": "NFA MEMBER APPROVED", "effective_date": "05/27/2008", "sponsor_name": null, "sponsor_nfa_id": null } ], "individual_banner": "NFA Member Approved", "membership_banner": "NFA Member Approved", "name": "INTERACTIVE BROKERS CORP", "names": [ "INTERACTIVE BROKERS CORP" ], "nfa_id": "0394039", "observed_at_ms": 1791144008102, "principals": [ { "entity_id_enc": "JJx+OhRm0jk=", "name": "PAUL JONATHAN BRODY", "nfa_id": "0031940", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=JJx%2BOhRm0jk%3D", "ten_percent_owner": false, "title": "HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION" }, { "entity_id_enc": "u65SIidUW0w=", "name": "JONATHAN CHAIT", "nfa_id": "0193637", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=u65SIidUW0w%3D", "ten_percent_owner": false, "title": "DIRECTOR" }, { "entity_id_enc": "1h6HtCx7SA0=", "name": "JOHNNY CLARK", "nfa_id": "0435971", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=1h6HtCx7SA0%3D", "ten_percent_owner": false, "title": "MANAGER-LLC OR LLP" }, { "entity_id_enc": "ijkuv/VRUpc=", "name": "MILAN GALIK", "nfa_id": "0523632", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=ijkuv%2FVRUpc%3D", "ten_percent_owner": false, "title": "CHIEF EXECUTIVE OFFICER" }, { "entity_id_enc": "QYxITMvPHSI=", "name": "JONATHAN MICHAEL GELMAN", "nfa_id": "0525355", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=QYxITMvPHSI%3D", "ten_percent_owner": false, "title": "CHIEF COMPLIANCE OFFICER" }, { "entity_id_enc": "XKlkXyixEek=", "name": "IB EXCHANGE CORP", "nfa_id": "0504429", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XKlkXyixEek%3D", "ten_percent_owner": true, "title": null }, { "entity_id_enc": "EcjiqOCirJA=", "name": "TAMARA SOPHIA MAKONNEN", "nfa_id": "0575749", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=EcjiqOCirJA%3D", "ten_percent_owner": false, "title": "HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION" }, { "entity_id_enc": "XmFmQfYaIfk=", "name": "THOMAS PECHY PETERFFY", "nfa_id": "0258601", "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "ten_percent_owner": true, "title": "DIRECTOR" } ], "registration_codes": [ { "class_code": "CFTC", "code": "IB", "display_text": "Introducing Broker", "is_cpo": false, "status_code": "REG", "sub_text": null } ], "regulatory_action_counts": [ { "category": "NFA", "count": 0 }, { "category": "CFTC", "count": 1 }, { "category": "Exchanges", "count": 0 }, { "category": "Foreign Regulators", "count": 0 } ], "reparations_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=%2BZExSP9DKWw%3D" } ``` ### Get regulatory action - Capability: `regulatory-registry/get_regulatory_action` - Description: One regulatory action case (getRegCasesDetails across its respondent, rule, actions, outcomes and narrative views): respondents, rules violated, actions, dated outcomes and narrative text. not_found when BASIC has no such case for the id. - Instructions: Read the detail of an action returned by list_regulatory_actions (nfa_id + case_ref + contributor). - Cost: 5 credits per call - Capability file: [Get regulatory action](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/get_regulatory_action) Accepted options: - `case_ref` (string, required): Case reference from list_regulatory_actions, e.g. 23-56 or 22BCC00004. Example: `` - `contributor` (string, required): Contributor code from list_regulatory_actions, e.g. CFTC or NFA. Example: `` - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "actions": [ { "description": "CFTC ADMINISTRATIVE ACTION", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "CFTC ADMINISTRATIVE ACTION", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" } ], "case_narrative": null, "case_ref": "23-56", "contributor": "CFTC", "nfa_id": "0394039", "observed_at_ms": 1791144036353, "outcomes": [ { "description": "CEASE AND DESIST ORDER", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "OTHER (SEE NARRATIVE)", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "COMPLAINT FILED", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "JOINT OWED", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "FINE/CIVIL MONETARY PENALTY $20,000,000", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039" }, { "description": "CEASE AND DESIST ORDER", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" }, { "description": "OTHER (SEE NARRATIVE)", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" }, { "description": "COMPLAINT FILED", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" }, { "description": "JOINT OWED", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" }, { "description": "FINE/CIVIL MONETARY PENALTY $20,000,000", "event_date": "09/29/2023", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600" } ], "respondent_narratives": [ { "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "text": "Release Number 8794-23\r\nCFTC Orders Interactive Brokers to Pay $20 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods\r\nSeptember 29, 2023\r\n\r\nWashington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp., an introducing broker, and Interactive Brokers LLC, a futures commission merchant, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.\r\n\r\nThe order requires Interactive Brokers to pay a $20 million civil monetary penalty, to cease and desist from further violations of recordkeeping and supervision requirements, and to engage in specified remedial undertakings. Interactive Brokers admits the facts detailed in the order.\r\n\r\nCase Background\r\n\r\nThe order finds from at least 2019 to the present, Interactive Brokers failed to stop its employees, including those at senior levels, from communicating using unapproved communication methods, including messages sent via personal text and WhatsApp. The firm was required to keep certain of these written communications because they related to the firm’s CFTC-registered businesses. These written communications generally were not maintained and preserved by Interactive Brokers, and the firm generally would not have been able to provide them promptly to the CFTC if and when requested. \r\n\r\nThe order also finds the widespread use of unapproved communication methods violated Interactive Brokers’ internal policies and procedures, which generally prohibited business-related communication taking place via unapproved methods. Further, some of the same supervisory personnel responsible for ensuring compliance with the firm’s policies and procedures themselves used non-approved methods of communication to engage in business-related communications, in violation of firm policy.\r\n\r\nSince December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on 20 financial institutions for their use of unapproved methods of communication, in violation of CFTC recordkeeping and supervision requirements. [See CFTC Press Release Nos. 8470-21; 8599-22; 8699-23; 8701-23; 8762-23; 8763-23]\r\n\r\nRelated Civil Actions\r\n\r\nThe Securities and Exchange Commission (SEC) today also announced entry of an order filing and settling charges against Interactive Brokers and imposing a civil monetary penalty for recordkeeping and supervision violations related to the use of unapproved methods of communication.\r\n\r\n******\r\n\r\nThe CFTC Division of Enforcement staff responsible for this action are Devin Cain; Alejandra de Urioste; R. Stephen Painter, Jr.; Lenel Hickson, Jr.; and Manal M. Sultan.\r\n\r\n-CFTC-" }, { "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "text": "Release Number 8794-23\r\nCFTC Orders Interactive Brokers to Pay $20 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods\r\nSeptember 29, 2023\r\n\r\nWashington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp., an introducing broker, and Interactive Brokers LLC, a futures commission merchant, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.\r\n\r\nThe order requires Interactive Brokers to pay a $20 million civil monetary penalty, to cease and desist from further violations of recordkeeping and supervision requirements, and to engage in specified remedial undertakings. Interactive Brokers admits the facts detailed in the order.\r\n\r\nCase Background\r\n\r\nThe order finds from at least 2019 to the present, Interactive Brokers failed to stop its employees, including those at senior levels, from communicating using unapproved communication methods, including messages sent via personal text and WhatsApp. The firm was required to keep certain of these written communications because they related to the firm’s CFTC-registered businesses. These written communications generally were not maintained and preserved by Interactive Brokers, and the firm generally would not have been able to provide them promptly to the CFTC if and when requested. \r\n\r\nThe order also finds the widespread use of unapproved communication methods violated Interactive Brokers’ internal policies and procedures, which generally prohibited business-related communication taking place via unapproved methods. Further, some of the same supervisory personnel responsible for ensuring compliance with the firm’s policies and procedures themselves used non-approved methods of communication to engage in business-related communications, in violation of firm policy.\r\n\r\nSince December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on 20 financial institutions for their use of unapproved methods of communication, in violation of CFTC recordkeeping and supervision requirements. [See CFTC Press Release Nos. 8470-21; 8599-22; 8699-23; 8701-23; 8762-23; 8763-23]\r\n\r\nRelated Civil Actions\r\n\r\nThe Securities and Exchange Commission (SEC) today also announced entry of an order filing and settling charges against Interactive Brokers and imposing a civil monetary penalty for recordkeeping and supervision violations related to the use of unapproved methods of communication.\r\n\r\n******\r\n\r\nThe CFTC Division of Enforcement staff responsible for this action are Devin Cain; Alejandra de Urioste; R. Stephen Painter, Jr.; Lenel Hickson, Jr.; and Manal M. Sultan.\r\n\r\n-CFTC-" } ], "respondents": [ { "barrable_offense": null, "effective_date": "09/29/2023", "entity_id_enc": "+ZExSP9DKWw=", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "verified_date": "10/05/2023" } ], "rules": [ { "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "rule": "CEA 6(c) - VIOLATION OF CEA & REGS - ADMIN PROCEEDINGS" }, { "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "rule": "CEA 6(d) - CEASE AND DESIST ORDERS/FINES" }, { "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "rule": "CEA 6(c) - VIOLATION OF CEA & REGS - ADMIN PROCEEDINGS" }, { "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "rule": "CEA 6(d) - CEASE AND DESIST ORDERS/FINES" } ], "source_url": "https://www.nfa.futures.org/BasicNet/basic-reg-actions-details.aspx?nfaid=%2BZExSP9DKWw%3D&case=23-56&contributor=CFTC" } ``` ### List arbitration awards - Capability: `regulatory-registry/list_arbitration_awards` - Description: NFA arbitration awards involving an NFA ID (getArbDecisionsIndex): case number, award date and the entity's relation (Claimant/Respondent). Empty when there are none; not_found for an unknown id. - Instructions: List arbitration awards for a firm before reading one with get_arbitration_award. - Cost: 5 credits per call - Capability file: [List arbitration awards](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_arbitration_awards) Accepted options: - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "awards": [ { "award_date": "07/15/2010", "case_number": "09ARB00210", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=09ARB00210" }, { "award_date": "07/15/2010", "case_number": "09ARB00211", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=09ARB00211" }, { "award_date": "07/15/2010", "case_number": "09ARB00212", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=09ARB00212" }, { "award_date": "07/15/2010", "case_number": "09ARB00213", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=09ARB00213" }, { "award_date": "07/15/2010", "case_number": "09ARB00214", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=09ARB00214" }, { "award_date": "06/07/2023", "case_number": "22ARB00016", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=22ARB00016" }, { "award_date": "06/07/2023", "case_number": "22ARB00016", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=22ARB00016" }, { "award_date": "05/13/2004", "case_number": "03ARB00147", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=03ARB00147" }, { "award_date": "05/08/2014", "case_number": "13ARB00005", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=13ARB00005" }, { "award_date": "04/28/2021", "case_number": "20ARB00034", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=20ARB00034" }, { "award_date": "03/06/2018", "case_number": "17ARB00001", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00001" }, { "award_date": "03/06/2018", "case_number": "17ARB00002", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00002" }, { "award_date": "03/06/2018", "case_number": "17ARB00003", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00003" }, { "award_date": "03/06/2018", "case_number": "17ARB00004", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00004" }, { "award_date": "03/06/2018", "case_number": "17ARB00005", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00005" }, { "award_date": "03/06/2018", "case_number": "17ARB00006", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00006" }, { "award_date": "03/06/2018", "case_number": "17ARB00007", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00007" }, { "award_date": "03/06/2018", "case_number": "17ARB00008", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00008" }, { "award_date": "03/06/2018", "case_number": "17ARB00010", "relation": "Claimant", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=17ARB00010" }, { "award_date": "02/26/2018", "case_number": "15ARB00035", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=15ARB00035" }, { "award_date": "02/26/2018", "case_number": "15ARB00036", "relation": "Respondent", "source_url": "https://www.nfa.futures.org/BasicNet/basic-arb-decisions-details.aspx?nfaid=QHPcC3ptg%2FI%3D&case=15ARB00036" } ], "count": 21, "entity_id_enc": "QHPcC3ptg/I=", "nfa_id": "0258600", "observed_at_ms": 1791144043518 } ``` ### List pools - Capability: `regulatory-registry/list_pools` - Description: Commodity pools operated by a CPO: current pools with their exemption (getExemptionsPools, 50 per page) or ceased pools with ceased dates (getCeasedPoolsByID, one page). Empty when the CPO operates none; not_found for an unknown id. - Instructions: List the pools a CPO found via search or profile operates. - Cost: 5 credits per call - Capability file: [List pools](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_pools) Accepted options: - `nfa_id` (string, required): CPO's NFA ID. Pattern: ^[0-9]{1,7}$. Example: `` - `page` (number): 1-based page; current pools only (ceased pools come in one page). Example: `10` - `status` (string): current (default) or ceased. Example: `current` Response schema example: ```json { "cpo_name": "EXCHANGE TRADED CONCEPTS LLC", "cpo_nfa_id": "0480907", "next_page": null, "observed_at_ms": 1791144069578, "page": 1, "pools": [ { "affirmed_date": "12/14/2025", "cancelled_date": null, "ceased_date": null, "delegated": null, "exemption_status": "Active", "exemption_type": "4.5", "name": "SABA CLOSED END FUNDS ETF", "pool_id": "P125974", "status": "current" }, { "affirmed_date": null, "cancelled_date": null, "ceased_date": null, "delegated": null, "exemption_status": "Active", "exemption_type": "4.7", "name": "SKYLAR ELECTRICITY FUTURES CAYMAN FUND LTD", "pool_id": "P207683", "status": "current" }, { "affirmed_date": null, "cancelled_date": null, "ceased_date": null, "delegated": null, "exemption_status": "Active", "exemption_type": "4.12(c)(3)", "name": "SKYLAR ELECTRICITY FUTURES ETF", "pool_id": "P207682", "status": "current" } ], "status": "current", "total_count": 3 } ``` ### List regulatory actions - Capability: `regulatory-registry/list_regulatory_actions` - Description: Regulatory actions BASIC lists for an NFA ID (getRegActionsIndex): contributor, case reference, effective date, outcomes and charges per action, with the case detail URL. Empty for an entity with a clean record; not_found for an unknown id. - Instructions: List NFA, CFTC, exchange and foreign-regulator disciplinary actions against a firm or individual. - Cost: 5 credits per call - Capability file: [List regulatory actions](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_regulatory_actions) Accepted options: - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "actions": [ { "actions": [ "CFTC ADMINISTRATIVE ACTION" ], "barrable_offense": null, "case_ref": "23-56", "contributor": "CFTC", "effective_date": "09/29/2023", "outcomes": [ "CEASE AND DESIST ORDER", "OTHER (SEE NARRATIVE)", "COMPLAINT FILED", "JOINT OWED", "FINE/CIVIL MONETARY PENALTY $20,000,000" ], "source_url": "https://www.nfa.futures.org/BasicNet/basic-reg-actions-details.aspx?nfaid=%2BZExSP9DKWw%3D&case=23-56&contributor=CFTC" } ], "count": 1, "entity_id_enc": "+ZExSP9DKWw=", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "observed_at_ms": 1791144029501, "source_url": "https://www.nfa.futures.org/BasicNet/basic-reg-actions.aspx?nfaid=%2BZExSP9DKWw%3D" } ``` ### List reparations - Capability: `regulatory-registry/list_reparations` - Description: CFTC reparations dockets BASIC lists for an NFA ID (getRepCases). Empty when there are none; not_found for an unknown id. - Instructions: List CFTC reparations cases naming a firm or individual. - Cost: 5 credits per call - Capability file: [List reparations](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/list_reparations) Accepted options: - `nfa_id` (string, required): Plain NFA ID, up to 7 digits (zero-padded on input), e.g. 0258600. Pattern: ^[0-9]{1,7}$. Example: `` Response schema example: ```json { "cases": [ { "contributor": "CFTC", "docket_number": "03-R046" }, { "contributor": "CFTC", "docket_number": "04-R061" }, { "contributor": "CFTC", "docket_number": "06-R035" }, { "contributor": "CFTC", "docket_number": "08-R016" }, { "contributor": "CFTC", "docket_number": "08-R021" }, { "contributor": "CFTC", "docket_number": "08-R024" }, { "contributor": "CFTC", "docket_number": "08-R025" }, { "contributor": "CFTC", "docket_number": "09-R006" }, { "contributor": "CFTC", "docket_number": "09-R017" }, { "contributor": "CFTC", "docket_number": "10-R021" }, { "contributor": "CFTC", "docket_number": "10-R027" }, { "contributor": "CFTC", "docket_number": "11-R016" }, { "contributor": "CFTC", "docket_number": "11-R034" }, { "contributor": "CFTC", "docket_number": "12-R008" }, { "contributor": "CFTC", "docket_number": "13-R009" }, { "contributor": "CFTC", "docket_number": "15-R007" }, { "contributor": "CFTC", "docket_number": "17-R003" }, { "contributor": "CFTC", "docket_number": "18-R028" }, { "contributor": "CFTC", "docket_number": "18-R029" }, { "contributor": "CFTC", "docket_number": "25-R022" }, { "contributor": "CFTC", "docket_number": "26-R021" } ], "count": 21, "entity_id_enc": "QHPcC3ptg/I=", "nfa_id": "0258600", "observed_at_ms": 1791144063306 } ``` ### Lookup id - Capability: `regulatory-registry/lookup_id` - Description: Resolve an NFA ID (firm or individual) or a pool id (P + 6 digits) to the entity BASIC knows (getNfaIdSearchResults), including the encrypted id its profile URL needs. not_found when BASIC has no such id. - Instructions: You already have an NFA ID or pool id and want the name, status summary and profile URL, or need the encrypted id for a BASIC page link. - Cost: 5 credits per call - Capability file: [Lookup id](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/lookup_id) Accepted options: - `id` (string, required): 7-digit NFA ID (e.g. 0258600) or pool id (e.g. P135724). Pattern: ^[Pp]?[0-9]{1,7}$. Example: `` Response schema example: ```json { "id": "0258600", "matches": [ { "cpo_name": null, "entity_id_enc": "QHPcC3ptg/I=", "kind": "entity", "location": "GREENWICH, CT", "membership_statuses": [ "EXEMPT FOREIGN FIRM AGENT APPROVED", "FUTURES COMMISSION MERCHANT REGISTERED", "FOREX DEALER MEMBER APPROVED", "FOREX FIRM APPROVED", "NFA MEMBER APPROVED", "SWAP FIRM APPROVED" ], "name": "INTERACTIVE BROKERS INC", "nfa_id": "0258600", "pool_id": null, "pool_status": null, "registration_codes": [ "EFFA", "FCM", "FDM", "FF", "NFA", "S" ], "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=QHPcC3ptg%2FI%3D" }, { "cpo_name": null, "entity_id_enc": "QHPcC3ptg/I=", "kind": "entity", "location": "GREENWICH, CT", "membership_statuses": [ "EXEMPT FOREIGN FIRM AGENT APPROVED", "FUTURES COMMISSION MERCHANT REGISTERED", "FOREX DEALER MEMBER APPROVED", "FOREX FIRM APPROVED", "NFA MEMBER APPROVED", "SWAP FIRM APPROVED" ], "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "pool_id": null, "pool_status": null, "registration_codes": [ "EFFA", "FCM", "FDM", "FF", "NFA", "S" ], "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=QHPcC3ptg%2FI%3D" } ], "observed_at_ms": 1791144000790 } ``` ### Search firms - Capability: `regulatory-registry/search_firms` - Description: Search BASIC firms by name (getFirmSearchResults): NFA ID, encrypted id, location, current registration types, membership status and regulatory-action flag per row, 50 rows per page. - Instructions: Find a futures firm's NFA ID from its name, optionally narrowed by membership status, registration type or whether it has regulatory actions. - Cost: 5 credits per call - Capability file: [Search firms](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_firms) Accepted options: - `has_regulatory_actions` (boolean): Keep only firms with (true) or without (false) regulatory actions. Example: `false` - `membership_status` (string): Exact BASIC membership status filter: Not an NFA Member | Permanent Bar | NFA Member Approved | Pending NFA Member | Shall Not Reapply for NFA Membership Status | Permanent Withdrawal | Temporary - Shall Not Be Listed or Act as a Principal of an NFA Member. Example: `` - `page` (number): 1-based page (50 rows per page, as the BASIC UI pages). Example: `10` - `query` (string, required): Firm name or name fragment (BASIC matches on the start of each word). Example: `` - `registration_types` (string[]): Registration type filter (any of): Introducing Broker | Commodity Pool Operator | Commodity Trading Advisor | Exempt Foreign Firm | Exempt Commodity Pool Operator | Swap Dealer | Exempt Commodity Trading Advisor | Futures Commission Merchant | Notice Introducing Broker | Floor Trader Firm | Retail Foreign Exchange Dealer | Notice Futures Commission Merchant. Example: `[]` - `sort` (string): Sort by firm name ascending (default) or descending. Example: `asc` Response schema example: ```json { "next_page": null, "observed_at_ms": 1791143978332, "page": 1, "page_size": 50, "query": "Interactive Brokers", "results": [ { "entity_id_enc": "zpdl4vvelBM=", "has_regulatory_actions": false, "location": "ATLANTA, GA", "membership_status": "Not an NFA Member", "name": "INTERACTIVE BROKERS", "nfa_id": "0322127", "registration_types": [], "regulatory_action_count": null, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=zpdl4vvelBM%3D" }, { "entity_id_enc": "7KNvBfk8Lh4=", "has_regulatory_actions": false, "location": "SAN FRANCISCO, CA", "membership_status": "NFA Member Approved", "name": "INTERACTIVE BROKERS", "nfa_id": "0392970", "registration_types": [ "Commodity Pool Operator", "Commodity Trading Advisor" ], "regulatory_action_count": null, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=7KNvBfk8Lh4%3D" }, { "entity_id_enc": "iw3mblOGFmU=", "has_regulatory_actions": false, "location": "NEW YORK, NY", "membership_status": "Not an NFA Member", "name": "INTERACTIVE BROKERS", "nfa_id": "0423911", "registration_types": [], "regulatory_action_count": null, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=iw3mblOGFmU%3D" }, { "entity_id_enc": "+ZExSP9DKWw=", "has_regulatory_actions": true, "location": "GREENWICH, CT", "membership_status": "NFA Member Approved", "name": "INTERACTIVE BROKERS CORP", "nfa_id": "0394039", "registration_types": [ "Introducing Broker" ], "regulatory_action_count": 1, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=%2BZExSP9DKWw%3D" }, { "entity_id_enc": "gplrlF2AdXw=", "has_regulatory_actions": false, "location": "GREENWICH, CT", "membership_status": "Not an NFA Member", "name": "INTERACTIVE BROKERS FOREX SERVICES LLC", "nfa_id": "0413661", "registration_types": [], "regulatory_action_count": null, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=gplrlF2AdXw%3D" }, { "entity_id_enc": "Guc8Gvh4rY8=", "has_regulatory_actions": true, "location": null, "membership_status": "Not an NFA Member", "name": "INTERACTIVE BROKERS GROUP LLC", "nfa_id": "0275787", "registration_types": [], "regulatory_action_count": 5, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=Guc8Gvh4rY8%3D" }, { "entity_id_enc": "QHPcC3ptg/I=", "has_regulatory_actions": true, "location": "GREENWICH, CT", "membership_status": "NFA Member Approved", "name": "INTERACTIVE BROKERS INC", "nfa_id": "0258600", "registration_types": [ "Futures Commission Merchant" ], "regulatory_action_count": 25, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=QHPcC3ptg%2FI%3D" }, { "entity_id_enc": "dR4GnoCRs0c=", "has_regulatory_actions": false, "location": "MUMBAI", "membership_status": "Not an NFA Member", "name": "INTERACTIVE BROKERS INDIA PRIVATE LIMITED", "nfa_id": "0515187", "registration_types": [ "Exempt Foreign Firm" ], "regulatory_action_count": null, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=dR4GnoCRs0c%3D" }, { "entity_id_enc": "QHPcC3ptg/I=", "has_regulatory_actions": true, "location": "GREENWICH, CT", "membership_status": "NFA Member Approved", "name": "INTERACTIVE BROKERS LLC", "nfa_id": "0258600", "registration_types": [ "Futures Commission Merchant" ], "regulatory_action_count": 25, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=QHPcC3ptg%2FI%3D" } ], "total_count": 9, "total_pages": 1 } ``` ### Search individuals - Capability: `regulatory-registry/search_individuals` - Description: Search BASIC individuals by last name and optional first name (getIndividualSearchResults), 50 rows per page. - Instructions: Find an associated person, principal or other registered individual and their NFA ID by name. - Cost: 5 credits per call - Capability file: [Search individuals](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_individuals) Accepted options: - `first_name` (string): Optional first name or fragment. Example: `` - `last_name` (string, required): last_name Example: `` - `page` (number): 1-based page (50 rows per page, as the BASIC UI pages). Example: `10` Response schema example: ```json { "first_name": "Thomas", "last_name": "Peterffy", "next_page": null, "observed_at_ms": 1791143986389, "page": 1, "page_size": 50, "results": [ { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS", "nfa_id": "0258601", "registration_types": [ "Associated Person Registered", "NFA Associate Member Approved", "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS", "nfa_id": "0258601", "registration_types": [ "Associated Person Registered", "NFA Associate Member Approved", "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS", "nfa_id": "0258601", "registration_types": [ "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS", "nfa_id": "0258601", "registration_types": [ "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS PECHY", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS PECHY", "nfa_id": "0258601", "registration_types": [ "Associated Person Registered", "NFA Associate Member Approved", "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS PECHY", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS PECHY", "nfa_id": "0258601", "registration_types": [ "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS PECHY", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS PECHY", "nfa_id": "0258601", "registration_types": [ "Associated Person Registered", "NFA Associate Member Approved", "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null }, { "entity_id_enc": "XmFmQfYaIfk=", "first_name": "THOMAS PECHY", "has_regulatory_actions": false, "last_name": "PETERFFY", "membership_status": "NFA Member Approved *", "name": "PETERFFY, THOMAS PECHY", "nfa_id": "0258601", "registration_types": [ "Principal Approved" ], "regulatory_action_count": 0, "source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=XmFmQfYaIfk%3D", "sponsor_name": null } ], "total_count": 8, "total_pages": 1 } ``` ### Search pools - Capability: `regulatory-registry/search_pools` - Description: Search commodity pools by name (getPoolNameSearchResults): pool id, status and the operating CPO's NFA ID, 50 rows per page. - Instructions: Find a commodity pool and its CPO; optionally only current or only ceased pools. - Cost: 5 credits per call - Capability file: [Search pools](https://firecrawl.dev/alexandria/agents/providers/nfa-futures-org/regulatory-registry/search_pools) Accepted options: - `page` (number): 1-based page (50 rows per page, as the BASIC UI pages). Example: `10` - `query` (string, required): Pool name or fragment. Example: `` - `status` (string): Only pools with this status. Example: `Current` Response schema example: ```json { "next_page": 2, "observed_at_ms": 1791144022985, "page": 1, "page_size": 50, "query": "Capital", "results": [ { "cpo_entity_id_enc": "UsQGIpRkCLc=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "EXCHANGE TRADED CONCEPTS LLC", "cpo_nfa_id": "0480907", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=UsQGIpRkCLc%3D", "pool_id": "P135724", "pool_name": "CAPITAL LINK GLOBAL FINTECH LEADERS ETF", "status": "CEASED" }, { "cpo_entity_id_enc": "2fhvtc9tYbM=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "JOHN HANCOCK INVESTMENT MANAGEMENT LLC", "cpo_nfa_id": "0329993", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=2fhvtc9tYbM%3D", "pool_id": "P091826", "pool_name": "CAPITAL APPRECIATION FUND A SERIES OF JOHN HANCOCK FUNDS II", "status": "CEASED" }, { "cpo_entity_id_enc": "2fhvtc9tYbM=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "JOHN HANCOCK INVESTMENT MANAGEMENT LLC", "cpo_nfa_id": "0329993", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=2fhvtc9tYbM%3D", "pool_id": "P091827", "pool_name": "CAPITAL APPRECIATION VALUE FUND A SERIES OF JOHN HANCOCK FUNDS II", "status": "CURRENT" }, { "cpo_entity_id_enc": "9mS2NdhOB10=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "JOHN HANCOCK VARIABLE TRUST ADVISERS LLC", "cpo_nfa_id": "0461208", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=9mS2NdhOB10%3D", "pool_id": "P092845", "pool_name": "CAPITAL APPRECIATION VALUE TRUST A PORTFOLIO OF JOHN HANCOCK VARIABLE INSURANCE TRUST", "status": "CURRENT" }, { "cpo_entity_id_enc": "4PtUms4T0js=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAMPBELL & COMPANY LP", "cpo_nfa_id": "0002631", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=4PtUms4T0js%3D", "pool_id": "P000524", "pool_name": "CAPITAL FUND", "status": "CEASED" }, { "cpo_entity_id_enc": "HQMDqpsM5ss=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "BLACKSTONE ALTERNATIVE ASSET MGMT LP", "cpo_nfa_id": "0246124", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=HQMDqpsM5ss%3D", "pool_id": "P095222", "pool_name": "CAPITAL GROUP ALTERNATIVE STRATEGIES FEEDER FUND LP", "status": "CEASED" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P140765", "pool_name": "CAPITAL GROUP CENTRAL FUND SERIES CAPITAL GROUP CENTRAL CASH FUND", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P158077", "pool_name": "CAPITAL GROUP CENTRAL FUND SERIES II CAPITAL GROUP CENTRAL CORPORATE BOND FUND", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P188269", "pool_name": "CAPITAL GROUP COMPLETION FUND SERIES CAPITAL GROUP CORE BOND COMPLETION FUND", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P199307", "pool_name": "CAPITAL GROUP COMPLETION FUND SERIES CAPITAL GROUP CORE PLUS COMPLETION FUND", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P199306", "pool_name": "CAPITAL GROUP COMPLETION FUND SERIES CAPITAL GROUP MUNICIPAL INCOME COMPLETION FUND", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P186828", "pool_name": "CAPITAL GROUP CONSERVATIVE EQUITY ETF", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P178989", "pool_name": "CAPITAL GROUP CORE BALANCED ETF", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P164788", "pool_name": "CAPITAL GROUP CORE EQUITY ETF", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P186829", "pool_name": "CAPITAL GROUP DIVIDEND GROWERS ETF", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P164791", "pool_name": "CAPITAL GROUP DIVIDEND VALUE ETF", "status": "CURRENT" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P081816", "pool_name": "CAPITAL GROUP EMERGING MARKETS TOTAL OPPORTUNITIES FUND", "status": "CEASED" }, { "cpo_entity_id_enc": "FfKoMBOkmUY=", "cpo_membership_status": "NFA MEMBER APPROVED", "cpo_name": "CAPITAL RESEARCH AND MANAGEMENT COMPANY", "cpo_nfa_id": "0185261", "cpo_source_url": "https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=FfKoMBOkmUY%3D", "pool_id": "P196990", "pool_name": "CAPITAL GROUP EQUITY ETF TRUST I CAPITAL GROUP US LARGE GROWTH 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