Introducing Brokers (IBs)

In 1983 the CFTC delegated the registration of Introducing Brokers (“IBs”) to the National Futures Association (“NFA”).  See 48 FR 35158 (Aug. 3, 1983).  For details regarding the registration of IBs, please visit the NFA website link here: https://www.nfa.futures.org/registration-membership/who-has-to-register/ib.html

In addition, IBs will find other resources on the Division of Swap Dealer and Intermediary Oversight (“DSIO”) webpage, link here: https://www.cftc.gov/About/CFTCOrganization/DSIOmission.html

DSIO resources include:

  • Advisories;
  • Guidance;
  • Staff No Action Letters;
  • Proposed Rules;
  • Final Rules;
  • Examination Priorities; and
  • Contact information regarding Senior Staff