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  • 北京快3走势图: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.
  • 中央纪委紧盯节点 4年来通报曝光问题近4000起 2019-02-22
  • 美丽城市研究︱美丽城市的杭州发展模式 2019-02-22
  • 外贸创新举措 让开放惠及世界 2019-02-21
  • 【大家谈】让“辛苦”的干部心不苦 2019-02-16
  • 跪着接生!医生以最庄重的姿势“抢回”女婴 2019-02-09
  • “大功三连”指导员王金龙责无旁贷学习先行走在前列 2019-02-07
  • 当人们还在操心责权利的时候,当个人的全面而自由发展吗? 2019-02-07
  • 有力过好多次了,差一点丢了条膀子。 2019-02-06
  • 中船重工总经理孙波涉嫌严重违纪违法被查 2019-02-06
  • 遗址保护莫陷入“名录”字眼中 2019-02-05
  • 弟子追忆荀慧生:循循善诱的严师,60岁仍每天练功、吊嗓子 2019-02-05
  • 访民情 惠民生 聚民心——亚心网专题 2019-02-03
  • 靠山山倒不如靠自己。远水救不了近火,这样的简单道理都不懂该有这样一劫 2019-02-03
  • 回复@老老保老张工:麻烦去问一下度娘再来瞎扯…… 2019-02-02
  • 夏威夷基拉韦厄火山喷发后惊现绿宝石颗粒 2019-02-01