Licencia o Marco Regulatorio
National Futures Association (NFA) BASIC SystemNFA-BASIC
Public background examination system operated by the NFA, tracking registration history and disciplinary actions across futures and swap participants.
Actualizado
Cobertura Institucional de National Futures Association (NFA) BASIC System
7 informes
Federal Securities Filings
Rule 15c3-1 Net Capital Haircut Table — Capital Buffer Policy: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of rule 15c3-1 net capital haircut table focusing on capital buffer policy. Covers statutory register tie-out (NFA-BASIC), 4.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
CAT Audit Trail Timestamp Sync — EDGAR Filing Reconciliation: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of cat audit trail timestamp sync focusing on edgar filing reconciliation. Covers statutory register tie-out (NFA-BASIC), 6.0 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
CFTC & NFA Commodity Pool Operator (CPO) Oversight: De Minimis Exemption 4.13(a)(3) vs. Full Registration
How quantitative hedge funds and crypto-derivative asset managers maintain compliance with CFTC margin thresholds without triggering full CPO overhead.
Federal Securities Filings
State MSB Multi-License Matrix — Prudential Ratio Stress: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of state msb multi-license matrix focusing on prudential ratio stress. Covers statutory register tie-out (NFA-BASIC), 14.3 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
CFTC Large Trader Reporting — Cross-Border Branch Notice: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of cftc large trader reporting focusing on cross-border branch notice. Covers statutory register tie-out (NFA-BASIC), 13.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
Reg SHO Locate Requirement Audit — Enforcement Precedent Digest: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of reg sho locate requirement audit focusing on enforcement precedent digest. Covers statutory register tie-out (NFA-BASIC), 4.0 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
Broker-Dealer AML Independent Test — Capital Buffer Policy: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of broker-dealer aml independent test focusing on capital buffer policy. Covers statutory register tie-out (NFA-BASIC), 4.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Preguntas Frecuentes (FAQ)
3 preguntas respondidas
¿Qué es National Futures Association (NFA) BASIC System y cómo se clasifica?
Public background examination system operated by the NFA, tracking registration history and disciplinary actions across futures and swap participants. En el grafo de conocimiento, National Futures Association (NFA) BASIC System se clasifica como Licencia o Marco Regulatorio con código NFA-BASIC.
¿Qué jurisdicción y autoridad supervisan a National Futures Association (NFA) BASIC System?
National Futures Association (NFA) BASIC System se registra bajo la jurisdicción United States, con supervisión o referencia legal vinculada a National Futures Association (NFA) BASIC System.
¿Cómo se cubre a National Futures Association (NFA) BASIC System en Americas Firm Ledger?
National Futures Association (NFA) BASIC System aparece en 7 informes de investigación en Americas Firm Ledger, conectado con expedientes de brókers regulados y rankings cuantitativos.
Expedientes de Brókers Regulados Relacionados
Clasificaciones Cuantitativas →Autoridades Supervisoras y Registros Oficiales
Todos los Reguladores →Matriz Comparativa de Entidades Similares
Comparativa regulatoria y de clasificación para National Futures Association (NFA) BASIC System y entidades relacionadas
| Entidad | Clasificación | Ticker / Código | Jurisdicción | Regulador | Wikidata ID | Informes |
|---|---|---|---|---|---|---|
National Futures Association (NFA) BASIC SystemActual | Licencia o Marco Regulatorio | NFA-BASIC | United States | National Futures Association (NFA) BASIC System | — | 10 |
| Licencia o Marco Regulatorio | FINRA-4210 | United States | FINRA Rule 4210 Margin Requirements | — | 10 | |
| Licencia o Marco Regulatorio | PCAOB-BD | United States | PCAOB Auditing Standard for Broker-Dealers | — | 10 | |
| Licencia o Marco Regulatorio | REG-D | United States | SEC Regulation D Private Placement Exemption | — | 11 | |
| Licencia o Marco Regulatorio | SEC-15C3-1 | United States | SEC Rule 15c3-1 Net Capital Standard | — | 11 | |
| Licencia o Marco Regulatorio | SEC-15C3-3 | United States | SEC Rule 15c3-3 Customer Protection Standard | — | 11 | |
| Licencia o Marco Regulatorio | SIPC | United States | Securities Investor Protection Corporation (SIPC) | — | 10 |