• 沙坪坝书记江涛:坚决打好全力打赢污染防治攻坚战 2019-04-20
  • 【科普探长】高层大楼火灾,如何沉着应对 2019-04-18
  • 5G标准出炉!与4G有啥不一样? 或1秒内下载1G电影 2019-04-15
  • 海底捞回应侵犯音乐人林海著作权:已停止播放 2019-04-13
  • 【奥吉通丰瑞车型报价】奥吉通丰瑞4S店车型价格 2019-04-06
  • 财政部就“财税改革和财政工作”答问 2019-04-05
  • 全国人大代表、雅安市委副书记、市长邹瑾:让雅茶雅旅重光茶马古道文化 2019-04-05
  • 北京市党政代表团赴疆考察对接援疆扶贫工作 2019-04-04
  • 天气太热,警惕“冰箱病”,告诉你冰箱的正确使用方法! 2019-04-04
  • 关于开展对我市改革建言献策活动的启事 2019-04-04
  • 台花莲发生6.5级地震已致2人遇难 2019-04-03
  • 百姓故事:蒋姐姐的旗袍人生 2019-04-03
  • 长安街知事:中央督查组对党政一把手动真格 2019-04-02
  • 首届妈祖信俗“立德”论坛成功举办 2019-04-02
  • 你有什么仙?你有什么水?你有什么龙?你有什么文?你有什么通?你有牛皮癣!你有脓水!你有强词夺理霸王龙“你有剽窃抄袭文,你有狗屁不通文!都是王婆卖瓜自己咵,狗舔吊 2019-03-29
  • 北京快乐8开奖和值:Who Has to Register

    北京快乐8官方走势图 www.hl747.com 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.

    Depending on a firm's business activity, registration is required unless it qualifies for an exemption or exclusion. If you have any questions as to whether you qualify for a particular exemption or exclusion from registration, refer to the appropriate section of the CEA, CFTC Regulations or consult NFA's Information Center.

    Requests for an exemption or for a "no action" opinion related to registration requirements should be submitted to the CFTC and a copy should be provided to NFA's Registration Department.

    Click on the links below to obtain specific information to help determine CFTC registration is required and, if so, in which category.

    Firm Registration

    Commodity Trading Advisor (CTA)

    A commodity trading advisor (CTA) is an individual or organization that, for compensation or profit, advises others, directly or indirectly, as to the value of or the advisability of buying or selling futures contracts, commodity options, retail off-exchange forex contracts or swaps.

    Commodity Pool Operator (CPO)

    A commodity pool operator (CPO) is an individual or organization that operates a commodity pool and solicits funds for that commodity pool. A commodity pool is an enterprise in which funds contributed by a number of persons are combined for the purpose of trading futures contracts or options on futures, retail off-exchange forex contracts, or swaps, or to invest in another commodity pool.

    Exempt Non-U.S. Firm

    A non-U.S. firm is a non-U.S. organization that transacts business directly with U.S. customers solely in futures contracts and options traded on non-U.S. exchanges. Under certain circumstances, some non-U.S. firms are exempt from CFTC registration.

    Futures Commission Merchant (FCM)

    A futures commission merchant (FCM) is an organization that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off-exchange forex contracts or swaps, accepting money or other assets from customers to support such orders.

    Introducing Broker (IB)

    An introducing broker (IB) is an individual or organization that solicits or accepts orders to buy or sell futures contracts, options on futures, retail off exchange forex contracts, or swaps but does not accept money or other assets from customers to support these orders.

    Notice Registered Broker Dealer, Futures Commission Merchant (FCM) and Introducing Broker (IB)

    Notice registered broker dealers are registered CFTC FCMs and IBs that limit their security related transactions to trading security futures products. Notice registered futures commission merchants (FCM) and introducing brokers (IB) are registered SEC FCMs and IBs that limit their futures related activities to the sale of security futures products on contract markets or derivative transaction execution facilities (DEF).

    Retail Foreign Exchange Dealer (RFED)

    A retail foreign exchange dealer (RFED) is an organization that acts, or offers to act, as a counterparty to an off-exchange non-U.S. currency transaction with a person who is not an eligible contract participant and the transaction is either:

    • a futures contract, an option on a futures contract or an option contract (except options traded on a securities exchange); or
    • offered or entered into, on a leveraged or margined basis, or financed by the offeror, counterparty or person acting in concert with the offeror or counterparty on a similar basis.  

    Swap Dealer (SD)

    A swap dealer (SD) is an organization that holds itself out as a dealer in swaps, makes a market in swaps, regularly enters into swaps with counterparties as an ordinary course of business for its own account, or engages in any activity causing the organization to be commonly known in the trade as a dealer or market maker in swaps.

    Individual Registration

    Associated Person (AP)

    An associated person (AP) is an individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of a futures commission merchant (FCM), retail non-U.S. exchange dealer (RFED), introducing broker (IB), commodity trading advisor (CTA) or commodity pool operator (CPO).

    Floor Broker (FB)

    A floor broker (FB) is 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 floor trader (FT) is 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 individual's status as a principal is determined by the individual's 1) ability to control a registrant's business activities; 2) formal title or position with the registrant; and 3) financial or ownership interest in the registrant. Individuals who, through their conduct or activity, directly or indirectly control a registrant are principals of the registrant, irrespective of their formal title or financial interest in the registrant. Similarly, individuals who hold specific positions or titles with registrants are also principals of the registrant, irrespective of their ability to control the registrant's business.

    This list is not inclusive of all firm and individual categories required to register with NFA.
    For additional details regarding who has to register, contact NFA.
  • 沙坪坝书记江涛:坚决打好全力打赢污染防治攻坚战 2019-04-20
  • 【科普探长】高层大楼火灾,如何沉着应对 2019-04-18
  • 5G标准出炉!与4G有啥不一样? 或1秒内下载1G电影 2019-04-15
  • 海底捞回应侵犯音乐人林海著作权:已停止播放 2019-04-13
  • 【奥吉通丰瑞车型报价】奥吉通丰瑞4S店车型价格 2019-04-06
  • 财政部就“财税改革和财政工作”答问 2019-04-05
  • 全国人大代表、雅安市委副书记、市长邹瑾:让雅茶雅旅重光茶马古道文化 2019-04-05
  • 北京市党政代表团赴疆考察对接援疆扶贫工作 2019-04-04
  • 天气太热,警惕“冰箱病”,告诉你冰箱的正确使用方法! 2019-04-04
  • 关于开展对我市改革建言献策活动的启事 2019-04-04
  • 台花莲发生6.5级地震已致2人遇难 2019-04-03
  • 百姓故事:蒋姐姐的旗袍人生 2019-04-03
  • 长安街知事:中央督查组对党政一把手动真格 2019-04-02
  • 首届妈祖信俗“立德”论坛成功举办 2019-04-02
  • 你有什么仙?你有什么水?你有什么龙?你有什么文?你有什么通?你有牛皮癣!你有脓水!你有强词夺理霸王龙“你有剽窃抄袭文,你有狗屁不通文!都是王婆卖瓜自己咵,狗舔吊 2019-03-29