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.
|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|
|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)