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Number of Registrants

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Companies and individuals who handle customer funds, solicit or accept orders, or give trained advice must apply for CFTC registration through the National Futures Association (NFA), an SRO with delegated oversight authority from the Commission.

The Commission regulates the activities of over 66,000 registrants.

Number of Registrants as of September 30, 2009
Registration Category1 Number Registered
Associated Persons (APs) (Salespersons) 51,921
Commodity Pool Operators (CPOs) 1,277
Commodity Trading Advisors (CTAs) 2,568
Floor Brokers (FBs) 7,114
Floor Traders (FTs) 1,447
Futures Commission Merchants (FCMs) 166 2
Introducing Brokers (IBs) 1,694 3
TOTAL 66,187
1 A person who is registered in more than one registration category is counted in each category. (back to text)
2 Includes 15 notice-registered FCMs. (back to text)
3 Includes 44 notice-registered IBs. (back to text)
Last Updated: March 19, 2010