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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 nearly 68,000 registrants.

Table 1: Number of Registrants as of September 30, 2008
Registration Category1 Number Registered
Associated Persons (APs) (Salespersons) 53,249
Commodity Pool Operators (CPOs) 1,353
Commodity Trading Advisors (CTAs) 2,534
Floor Brokers (FBs) 7,335
Floor Traders (FTs) 1,446
Futures Commission Merchants (FCMs) 179 2
Introducing Brokers (IBs) 1,647 3
TOTAL 67,743
1 A person who is registered in more than one registration category is counted in each category. (back to text)
2 Includes 16 notice-registered FCMs. (back to text)
3 Includes 44 notice-registered IBs. (back to text)

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Last Updated: September 23, 2009