Publications
The CFTC continually strives to provide effective information and tools to help consumers avoid fraud. Below are some helpful resources on these topics. Bulk orders of certain publications are available free to organizations. If you have questions about any of these resources, please contact [email protected]. These publications should not be resold.
Brochures
Commodity Futures Trading Commission - Overview
The mission of the CFTC is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. [PDF]
Before Investing in Commodity Pools
Consider the pros, cons, and managers carefully. Also be sure you receive and review all mandatory disclosures. [PDF]
How to Protect Yourself from Fraud
Criminals target experienced investors to steal their savings. They’re crafty and good at what they do. Learn how to spot the tactics fraudsters use and how to check qualifications, disciplinary histories, and registrations. [PDF]
Account Statement and Trade Confirmation Checklist
Check trade confirmations and monthly or quarterly account statements routinely to spot mistakes or signs of possible trouble. Find out what to look for and what to do if you spot something wrong. [PDF]
How to Select a Futures Broker or Advisor
This worksheet offers steps you can take and interview questions to consider during your search for a new broker or advisor. Plus, warning signs to watch out for. [PDF]
Advisories
Customer Advisory: Learn About Risks Before Investing in Commodity ETPs or Funds
Trading vehicles that use futures contracts or other commodity interests may be organized as exchange-traded products or mutual funds, but that does not necessarily mean they will behave like traditional exchange-traded funds or mutual funds that invest in stocks, bonds or other asset classes. [PDF]
Customer Advisory: Beware of Fee Scams Targeting Workers Sidelined by COVID-19
Unregistered brokers selling binary options, foreign exchange (forex) programs, and cryptocurrencies are targeting people who lost their jobs due to COVID-19. The scams promise unrealistically high profits, but later force victims to pay excessive “fees” and “taxes” to get their supposed earnings. [PDF]
Fraudsters commonly use major news events, such as the spread of COVID-19, to add credibility to their cons or manipulate emotions. You can better protect yourself by learning to recognize common mental biases that everyone has, as well as common fraud tactics—and by taking a few preventative steps. [PDF]
Customer Advisory: Use Caution When Buying Digital Coins or Tokens
The market for digital coins and tokens is still very young and there is no widely-accepted standard for placing a value on a particular coin or token. You need to ask about your rights, research what could affect the future value of a digital coin or token, and exercise caution. [PDF]
Investor Alert: Watch Out for Fraudulent Digital Asset and “Crypto” Trading Websites
The CFTC and SEC have recently observed investment scams where fraudsters pose as “cryptocurrency” advisory trading businesses touting proprietary trading systems or mining farms. [PDF]