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Number of Registrants

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Companies and individuals who handle customer funds, solicit or accept orders, or give trading advice must apply for CFTC registration through the NFA, a registered futures association and an SRO with delegated authority from the Commission.

The Commission regulates the activities of 65,370 registrants.

Number of Registrants as of September 30, 2011
Registration Category1,2 Number Registered
Associated Persons (APs) (Salespersons) 52,369
Commodity Pool Operators (CPOs) 1,183
Commodity Trading Advisors (CTAs) 2,530
Floor Brokers (FBs) 6,316
Floor Traders (FTs) 1,286
Futures Commission Merchants (FCMs) 137
Retail Foreign Exchange Dealers (RFEDs) 14
Introducing Brokers (IBs) 1,535
Swap Dealers (SDs)3 0
Major Swap Participants (MSPs)4 0
TOTAL 65,370

1 A person who is registered in more than one registration category is counted in each category. (back to text)

2 Source: NFA's Monthly Membership and Registration Report to CFTC as of September 30, 2011. (back to text)

3 New registration category proposed by the Commission for certain entities engaged in swap transactions at 75 Fed. Reg. 71379 (November 23, 2010). (back to text)

4 New registration category proposed by the Commission for certain entities engaged in swap transactions at 75 Fed. Reg. 71379 (November 23, 2010). (back to text)

 

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