The National Futures Association (NFA) is the industry-wide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. It safeguards the integrity of the derivatives markets, protects investors, and ensures Members meet their regulatory responsibilities. It also offers a free tool called BASIC 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.
The Australian Securities and Investments Commission (ASIC) is an independent government institution established in 2001 under the Australian Securities and Investments Commission Act. It independently regulates companies, investment activities, financial products, and services.