- Information
Technology - Customer
Protection
Commissioners- Inspector
General - Industry
Regulation- The Commission and the Industry We Regulate
- Industry Growth in Volume, Globalization and Complexity
- Growth in Volume of Futures and Option Contracts Traded
- Estimated Annual Swap Event Volume
- Actively Traded Futures and Option Contracts
- Notional Value of Futures/Option Open Contracts
- Notional Value of Exchange-Traded and OTC Contracts
- Customer Funds in Futures Commission Merchants Accounts
- Aggregate Sum of House Origin Margin on Deposit
- Number of Registrants
- Contract Markets Designated by the CFTC
- Number of DCOs Registered with the CFTC
- Exempt Markets
- Industry
Trends- Industry Trends and CFTC Resource Requirements
- Industry Trend 1: Swap Markets are Increasingly Operating Under the Dodd-Frank Regulatory Framework
- Industry Trend 2: Increased Number of Market Participants is Driving Innovation in Derivatives Trading
- Industry Trend 3: Intermediaries are Investing in New Business Processes and Technology
- Industry Trend 4: Heightened Risk Management Practices Seek to Lower Institutional Risk at Clearinghouses
- Industry Trend 5: Market Participants Need to Manage Large Volumes of Data in Order to Adapt to Evolving Derivatives Environment
- Resources
by Goal - Privacy
Policy
Acronyms
Appendix 3. The Commission and the Industry We Regulate
Number of Registrants
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 62,958 registrants.
| Registration Category1 | Number Registered |
|---|---|
| Associated Persons (APs) (Salespersons) | 51,068 |
| Commodity Pool Operators (CPOs) | 1,172 |
| Commodity Trading Advisors (CTAs) | 2,470 |
| Floor Brokers (FBs) | 5,650 |
| Floor Traders (FTs) | 1,102 |
| Futures Commission Merchants (FCMs) | 128 |
| Retail Foreign Exchange Dealers (RFEDs) | 14 |
| Introducing Brokers (IBs) | 1,354 |
| Swap Dealers (SDs)2 | 0 |
| Major Swap Participants (MSPs)3 | 0 |
| Total | 62,958 |
1 A person who is registered in more than one registration category is counted in each category. (back to text)
2 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)
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)
