W彩票网代理: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, the requirements 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
  • 人民日报评论员:新时代推进生态文明建设的重要遵循 2019-04-24
  • 中国光大银行获第十二届人民企业社会责任奖年度扶贫奖 2019-04-23
  • 公安部A级通缉十大电信网络诈骗犯罪嫌疑人全部落网 2019-04-22
  • 2017世界厕所日暨中国厕所革命宣传日活动--旅游频道 2019-04-22
  • 端午节回归传统习俗 西安市民排队买艾草端午节艾叶-要闻 2019-04-21
  • 我国首个百亿方页岩气产能基地揭牌 2019-04-20
  • 经济日报:微观基础改善 经济稳健可期 2019-04-20
  • 警惕这些假冒高校网站!坑钱,还会毁了孩子前程! 2019-04-19
  • 人民网舆情分析专家:胡永明 2019-04-18
  • 世界杯频爆冷门网友大呼“天台见”!警方:不要冲动,不要跳楼 2019-04-17
  • 饮水思源感党恩 争做新时代好群众 2019-04-17
  • 一带一路中小企业国际合作高峰论坛花絮 2019-04-16
  • 候选案例:国酒茅台·国之栋梁 2019-04-15
  • 超励志的新疆小伙艾山江弹唱《南山南》 2019-04-15
  • 女性之声——全国妇联 2019-04-14
  • 53| 370| 877| 825| 906| 196| 915| 953| 84| 497|