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Number of Registrants

Table Of Contents

Companies and individuals who handle customer funds, solicit or accept orders, or give trained advice must apply for CFTC registration through the NFA, an SRO with delegated oversight authority from the Commission. The Commission regulates the activities of nearly 70,000 registrants.

Number of Registrants as of September 30, 2007
Type of Registered Professional Number Registered
Associated Persons (APs) (Salespersons) 53,844
Commodity Pool Operators (CPOs) 1,416
Commodity Trading Advisors (CTAs) 2,601
Floor Brokers (FBs) 8,038
Floor Traders (FTs) 1,506
Futures Commission Merchants (FCMs) 197 1
Introducing Brokers (IBs) 1,699 2
TOTAL 69,301
1 Includes 16 notice-registered FCMs. (back to text)
2 Includes 42 notice-registered IBs. (back to text)