W彩票网网址:Registration and Membership

W彩票网网站 www.z8fhm.com.cn The Commodity Exchange Act (CEA) requires certain firms and individuals that conduct business in the derivatives industry to register with the CFTC. CFTC regulations also require, with few exceptions, CFTC registered firms to be NFA Members. The CFTC has delegated registration responsibility to NFA.

All futures professionals required to register with the CFTC are granted registration only after a thorough investigation of their background to determine if they meet the fitness standards set forth in the CEA.

Click the tabs below to learn about the types of activity that require CFTC registration and how to register.

Firm Registration

Commodity Pool Operator (CPO)

An individual or organization that operates a commodity pool and solicits funds for that commodity pool

Commodity Trading Advisor (CTA)

An individual or organization that, for compensation or profit, advises others, directly or indirectly, as to the value of or the advisability of trading futures contracts, options on futures, retail off-exchange forex contracts or swaps

Futures Commission Merchant (FCM)

An entity that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, and accepts money or other assets from customers to support such orders

Introducing Broker (IB)

An individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, or swaps but does not accept money or other assets from customers to support these orders

Individual Registrants

Associated Person (AP)

An individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of a futures commission merchant (FCM), retail foreign exchange dealer (RFED), introducing broker (IB), commodity trading advisor (CTA) or commodity pool operator (CPO)

Floor Broker (FB)

An individual who purchases or sells any futures contracts, options on futures or swaps on any contract market for any other person

Floor Trader (FT)

A person who purchases or sells any futures contracts, options on futures or swaps on any contract market for such person's own account

Principal

An applicant, a registrant, or a person required to be registered under CFTC Regulation 3.1 (a)

Register Online

Begin the enrollment process.

Security Manager Duties

Understand the responsibilities of a security manager.

Templates and Forms

Use these templates and forms to prepare for registration.

Dues and Fees

Access information detailing CFTC registration and NFA membership.

Failure to Disclose Disciplinary Information on a Registration Application

Access information regarding the failure to answer disciplinary information correctly or completely.

Education, Tutorials and Guides

NFA provides resources for parties interested in NFA registration.

View Resources parties interested in NFA Registration

Membership and Directories

NFA provides current Membership counts and directories for the public.
Learn More membership and directories

Security Manager Information

In order to access NFA's Online Registration System, NFA Members will need to designate a Security Manager.

Learn More about designating a security manager

Obtaining Registration Records

Firms, floor brokers and floor traders can obtain copies of their registration records or filings using NFA's Online Registration System.

Request Records for registration and filing using the online registration system
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