NATIONAL FUTURES ASSOCIATION
300 S Riverside Plaza, Chicago, IL 60606 www.nfa.futures.org

Total Revenue
$120,873,183
Total Expenses
$106,252,569
Net Assets
$133,963,461
Organizations Filed Purposes: AS A CONGRESSIONALLY AUTHORIZED SELF-REGULATORY ORGANIZATION, NATIONAL FUTURES ASSOCIATION (NFA) IS THE SELF-REGULATORY ORGANIZATION FOR THE U.S. DERIVATIVES INDUSTRY, INCLUDING EXCHANGE TRADED FUTURES, RETAIL OFF-EXCHANGE FOREIGN CURRENCY (FOREX) AND OTC DERIVATIVES (SWAPS). NFA HAS DEVELOPED AND ENFORCES RULES, PROVIDES PROGRAMS AND OFFERS SERVICES THAT SAFEGUARD MARKET INTEGRITY, PROTECT INVESTORS AND HELP OUR MEMBERS MEET THEIR REGULATORY RESPONSIBILITIES.

NFA IS A SELF-REGULATORY MEMBERSHIP ORGANIZATION FORMED TO MONITOR AND MAINTAIN THE INTEGRITY OF THE DERIVATIVES TRADING INDUSTRY.

REGISTRATION NFA SCREENS ALL FIRMS AND INDIVIDUALS WISHING TO REGISTER WITH THE CFTC AND BECOME MEMBERS. NFA'S REGISTRATION DEPARTMENT PROCESSED APPROXIMATELY 370 FIRM REGISTRATIONS AND OVER 6,606 INDIVIDUAL REGISTRATIONS. REGISTRATION INVESTIGATION CASES NFA'S REGISTRATION INVESTIGATIONS GROUP OPENED APPROXIMATELY 1,158 CASES. THESE INVESTIGATION CASES ARE DUE TO INFORMATION OBTAINED DURING NFA'S BACKGROUND CHECKS. INFORMATION CENTER NFA'S INFORMATION CENTER - A SERVICE NFA OFFERS TO MEMBERS AND THE INVESTING PUBLIC - RECEIVED MORE THAN 21,788 CALLS AND RESPONDED TO NEARLY 3,855 EMAILS. ENFORCEMENT ACTIONS ENFORCEMENT OF NFA RULES IS CRITICAL TO THE EFFECTIVENESS OF THE SELF-REGULATORY PROCESS. IN FISCAL YEAR 2020: NFA'S BUSINESS CONDUCT COMMITTEE ISSUED 16 COMPLAINTS AGAINST 35 RESPONDENTS. A NUMBER OF THESE CASES INVOLVED MEMBERS AND ASSOCIATES WHO FAILED TO SUPERVISE, COOPERATE WITH NFA IN AN INVESTIGATION OR OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE. NFA'S DISCIPLINARY PANELS ISSUED 19 DECISIONS AND ORDERED 11 MEMBERSHIP BARS, NINE SUSPENSIONS AND NFA COLLECTED MORE THAN $2.8 MILLION IN FINES.

Executives Listed on Filing

Total Salary includes financial earnings, benefits, and all related organization earnings listed on tax filing

NameTitleHours Per WeekTotal Salary
Thomas SextonPresident and CEO40$784,477
Daniel DriscollSpecial Advisor40$655,984
Regina ThoeleSenior VP40$603,228
Edward DassoVice President40$549,391
David HawryszSr. VP, CFO, and Treasurer40$479,708
Carol WoodingVP, GC, and Secretary40$472,836
Timothy MchenryVice President40$458,045
Karen WuertzSenior VP40$444,948
Jamila PiracciVice President40$383,019
Joseph HawryszManaging Director, Compliance40$326,803
Joseph ZangriManaging Director, Exams OTC40$319,235
Adrianna JovesAssociate Counsel40$311,102
Thomas GisondaManaging Dir, OTC Derivatives40$310,056
Dale SpoljaricManaging Director, Compliance40$299,031
Yvette ChristmanVice President40$252,804
Nancy BohanonVice President40$198,640
Michael OttenVice President40$44,174
Douglas HarrisBoard Member1$43,500
Ronald OppenheimerBoard Member1$42,000
Ronald FillerBoard Member1$42,000
Michael MoskowBoard Member1$41,500
Todd PetzelBoard Member1$40,000
Charles NastroBoard Member1$25,500
Michael SchaeferBoard Member1$21,500
Jim MarshallBoard Member1$21,500
Mary McdonnellBoard Member1$20,000
Don ThompsonVice Chair1$16,000
John SandnerBoard Member1$16,000
David GooneBoard Member1$16,000
Maureen DownsChairperson1$16,000
Ernest JaffarianBoard Member1$16,000
Douglas BryBoard Member1$16,000
Thomas KadlecBoard Member1$14,000
Gerald CorcoranBoard Member1$10,000
Seth BenderBoard Member1$8,000
Scott StewartBoard Member1$8,000
Nicola WatsonBoard Member1$8,000
Martin LueckBoard Member1$8,000
Michael BurkeBoard Member1$8,000
Mark BaganBoard Member1$6,000
Maria ChiodiBoard Member1$2,000
Hector FernandezBoard Member - As of 2/20201$0
Mariam RafiBoard Member - AS OF 2/20201$0
Arthur HahnBoard Member1$0
William MccoyBoard Member1$0
Charlotte MclaughlinBoard Member1$0
Sheryl WallaceBOARD MEMBER - THRU 2/20201$0
Data for this page was sourced from XML published by IRS (public 990 form dataset) from: https://s3.amazonaws.com/irs-form-990/202043179349303449_public.xml

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